consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to

Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with

responsible for the important work systems resigned ? affected the readiness of the company's important work systems. Subsequently, the company failed to meet the standards on work systems. For example, the

derivative warrants of 90 companies, amounting to the total trading value of approximately 130 million baht.By accepting a client's assignment to make investment decisions for the client, {A} failed to perform

. However, Mr. Suphanan failed to perform his duty as directed and submitted a clarification letter to the SEC. The SEC considered his explanation inadmissible. The SEC has viewed that Mr. Suphanan’s

of Audit Research Project, revealing the main reason why stakeholders or related parties have failed to see the value of audit is because they do not fully understand the roles and responsibilities of

repurchase scheme to the SET. As a result, the price of JAS stock increased. {A} sold off his Futures contracts and gained benefits from the transaction.Apart from using the non-public information, {A} failed

quarter of 2016 because they failed to present correct information on the liabilities incurred from the company's issuance of bills of exchange (B/E). KC is also required to have a special audit on such B/E

processed. Instead, he falsified documents to deceive the clients that their orders had been executed.  He also deceived the clients that the Automated Trading System (ATS) failed to function and thus asked

through such client?s account without record and evidence of trading orders. She failed to give the company and the SEC any evidence to prove otherwise. Kruawan?s actions were deemed trading securities for