spot market, open trading accounts and trade through website www.goldexasia.com. It was, however, found that there was no gold delivery while payments were not made in full for trading transactions
company has incorrectly recorded some accounts. In addition, the SEC?s review of such financial statements along with NIPPON information released through the Stock Exchange of Thailand indicate that there
accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's
) to (4) had purchased MAKRO shares based on non-public information material to the price of MAKRO shares. The findings revealed records of purchase transactions in the trading accounts of the four
derivatives products to deposit money into banking accounts of two securities companies for Sureerat?s derivatives trading account. Such wrongdoing was in violation of Section 16 of the Derivatives Act B.E
information about the funds? investment plans to trade securities for her personal or other persons? gains (front running). Such trading activities were made through two securities trading accounts with
risks and sufficiently determine other audit procedures to consider the cause of such discrepancy and impact on accuracy of other accounts. Moreover, he did not determine any procedure to verify the
persons securities trading accounts. The said four accomplices were Porntep Thawornwisuthikul, Arada Lertpinyopap, Naruephol Chatchalermvit and an unknown person previously named in the SEC's criminal
, and Kanchanok (or Natchaporn Likitsirisap or Rassarin Surapattanapaisan), a former vice president?project management, for collusively falsifying documents and accounts and defrauding DAIDO assets. In
agreements ? may hold such investments until maturity but are not allowed to make new investments in such instruments. ?Investors having securities or futures trading accounts normally deposit cash with the