Securities (Thailand) Plc. for one month; and (3) {C}, a former investment consultant of Kiatnakin Securities Co., ltd., for three months. In the case of {A}, the SEC found that he had taken trading orders
) Plc., the SEC probed into the case and found that {B} and {A} had been authorized by their client to make securities trading decisions on the client? s behalf. {B} admitted that she has been authorized
. The frequency of findings across jurisdictions in the various audit areas demonstrates that the auditors still need to continually improve their performance. On the recurrence of many findings year
Bangkok, October 16, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved to revise the regulations on services concerning investment in
Act B.E. 2535 (1992) (SEA). The audit committee twice reported that no wrongdoing was found and that the inadequacies in TUCC?s internal control, without any sign of fraud. The SEC probed into the case
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
client during the performance of duties. From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that {A} submitted securities trading orders before notifying a
, at 740 million baht. The payment will partially be made by means of share swap where AJP will issue new shares at the price of 8 baht per share. The Audit Committee viewed that despite the proposed
) Plc., committed dishonest acts during 2006-2008. She deceived a foreign investor into affixing his signature on a blank securities withdrawal/transfer form, claiming that the client could not receive
based on reasonable evidence indicating that the said persons agreed or conspired with former executives of a securities company in using their own trading accounts or other persons? to manipulate the