both accounting periods, as the financial statements were not in conformity with the generally accepted accounting standards in these following items:1. YNP?s records on the allowance for doubtful
? accounts that he borrowed the money from, for other?s or his own benefits. The SEC reviewed and found that Chalerm?s actions were deemed fraudulent, deceitful, interference with clients? assets with the
, for the benefit of his own or others, also transferred the client?s deposits placed with the company to the accounts of other clients that he was allowed to use. Chalerm?s actions were deemed dishonesty
delist KARAT from the Stock Exchange of Thailand (SET), before the information was disclosed to the public on July 3, 2002. The SEC found that some accounts were opened to trade KARAT?s shares only while
addition to him, Chanchai and Onpimon were also involved in the act as aiders.In this regard, Chupong, Chanchai and Onpimon were deemed to have committed offences in violation Section 311 and Section 315 of
. By committing such act which gained him more than 42 million baht in benefits, {A} was deemed to have performed duties dishonestly. In addition to him, {B} and {C} were also involved in the act as
scheme, {F} and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to use their trading accounts.Their actions were in
failure to record the client's securities trading orders. They were RHB OSK Securities (Thailand) Plc. (OSK Securities) employees.From a routine inspection of RHB OSK Securities (Thailand) Plc, the SEC
securities businesses of brokerage, investment advisory and private fund management by advertising, soliciting and using website http://www.qg-corp.com. The said actions were subject to an imprisonment from 2
value was 553.94 billion baht, more than 32 percent increase from the previous year. Moreover, some of long-term bonds were offered for sale by 24 first-time issuers while 56 companies were newcomers for