Section 83 of the Penal Code. Both persons, however, failed to pay the fines. The SEC therefore filed the criminal complaint against them with the DSI for further criminal proceedings. Also named in the

procedure or failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed criminal complaint against them with the DSI for further legal proceedings.During the legal proceedings, {A} is

any in accordance with the compromise agreement. {B} (formerly named {C}), the investment consultant for the securities trading account of such client, failed to perform investment consultant?s duties

possible.In addition, both companies must submit the corrected financial statements for the year 2014 as ordered earlier by the SEC in May 2015, but so far have failed to comply, and must submit the financial

?s finding that he had made audit mistakes and failed to comply with the auditing standards in performing the audit of financial statements of public limited companies applying for public offering of

period and also made trading decisions during January 5-6, 2012 which Theera failed to prove that the orders were sent according to the client?s instruction.The Nongan Saetung case was also submitted by

which {A} failed to prove that the orders were sent according to the client's instruction.The {B} case was also submitted by his employer. The SEC then probed into the case and found from conversation

be traded while the clients merely accepted the transactions. For {B} case, it was found that he failed to completely record the client's trading securities orders for a number of transactions; the

failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment

Securities and Exchange Act of 1992 in conjunction with Sections 86 of the Criminal Code. The five offenders had expressed their initial intention to enter settlement procedure, but later failed to do so