complaint lodged by a client on {B}'s actions. The report indicated that {B} sent trading orders through client's account without evidence of trading orders from clients, which caused damages to the client

statements. Therefore, the auditor was unable to express his opinion on the aforementioned financial statements. Such information includes cash account, purchases and sales transactions in cash, executive

the private sector to undergo such process.The drafting process of the said rules has taken into account the comments and recommendations gathered from the previous hearing conducted in April on the

Kanjanopas) in trading shares of Karat Sanitaryware Plc. ("KARAT") through her own account by using inside information. Such information was obtained by Apichart while performing duty as a chief legal counsel

by virtue of their positions to purchase shares of Professional Waste Technology (1999) Public Company Limited (PRO).  The SEC investigation, following a referral from the Stock Exchange of Thailand

Stock Exchange of Thailand, the SEC probed into the case and found that {A} had sold 711,300 {X1} shares in a trading account of a juristic person where he is an authorized director and holds 99.98

. (IT).With the referral from the Stock Exchange of Thailand, the SEC?s probe found that during January 31 - February 4, 2013, Pantipa, IT financial controller, had sold 374,440 IT shares through

Limited (ESTAR) for insider trading.With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that during February 24-28, 2014, Ratanachai had used another person?s

? futures trading orders through an account linked to him at another broker for his personal gain.  This caused financial damages to his clients. His actions were in violation of Sections 145(3) and (4) of

EMC Public Company Limited (EMC).With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that during October 16-18, 2013, Paiboon, then EMC Managing Director