investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase units of a mutual fund but did not execute the subscription order for the client. Instead, he
. Following a referral from the Stock Exchange of Thailand (SET), the SEC probed into the case and found that on September 23, 2009, Chutchapong, then deputy managing director and director of SLC, had sold SLC
-2010. The SEC reviewed audit performance of Jadesada Hungsapruek, NIPPON?s auditor of Karin Audit Co., Ltd. and found that Jadesada did not comply with auditing standards. He did not carefully review
into the case and found that from July 24 to August 26, 2009, {A} {B} {C} {D} {E} {F} {G} {H} {I} {J} and {K} had colluded to trade MILL shares through securities trading accounts of their own and other
.""Scammers usually try to lure investing public with a variety of ways. Mostly found today is soliciting general public to invest in derivatives on gold and crude oil, for instance, with unreal return of
of CD offerings by listed companies while flaws have been found in notices calling a shareholders? meeting to approve CD offering and authorized shares reserved for CD conversion. Without advice of the
found that on October 3, 2012, {A} {B} and {C} had colluded to trade TPC shares through their own securities trading accounts and the accounts of {D} and {E}. The trading was done in the manner that
reviewed/audited financial statements by July 2, 2014.The SEC found that the auditor expressed the adverse conclusion on PRO interim financial statements for the first three quarters of 2012 concerning no
into the case and found that from May 10th July 31, 2007, {A} in colluding with other persons had traded RICH shares through 15 related persons securities trading accounts to lure the public into the