is responsible for the operations of BBL, shall be liable for BBL’s failure to comply with the rules, conditions and procedures as specified in the notification by failing to put in place a sufficient

the operations of BBL, shall be liable for BBL’s failure to comply with the rules, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system

financial statements of the group of offerors for the CPT shareholders immediately after the submission of the tender offer to the Office of the Securities and Exchange Commission, and by failing to ensure

failing to have a sufficient and effective system for executing securities transactions for the mutual fund, resulted of an act or failure to act which is a dulty required to be performed. SEC Act S

with the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the

with the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the

with the rules, conditions and procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology systems

client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s

neither account owner nor account owner's appointee; failing to keep confidential client's information; and failing to keep records of investment advice and clients' trade order instructions; in violation

SEC files criminal complaint against six GEN?s directors and executives for failing to perform duties with responsibility and due care causing damage to the company Bangkok, May 17, 2012 ?  The SEC