by seeking wrongful benefits or embezzling IEC?s assets for himself or other persons. He made IEC enter into a contract with a computer company believed to be a related entity, resulting in IEC having

account of performing duties dishonestly, misappropriating client assets, and producing false evidence.According to a referral from KASIKORNBANK Public Company Limited (KBANK) and the SEC's further

public offerings of two issuing companies concerning filing of application for approval for public offering of shares, registration statement, and draft prospectus (filing).Akekajak failed to perform due

for one year from September 22, 2011. The order has been issued after the SEC?s finding indicated his audit mistakes and failure to comply with the auditing standards in peforming the audit of Nippon

, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders

several days. When the client ordered to sell the securities actually sold by {A}, he instead sent the selling order for other securities of the client. {A} admitted that job stress caused him to decide to

Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

information on sufficient sources of fund and SICCO Advisory Co., Ltd., the financial advisor responsible for preparing such tender offer, is unable to verify the correctness and completeness of the submitted

that the applicant had transferred all shares of such company to a third party despite various factors indicating that the transaction may not exist. This would lead to incorrect and incomplete

. The events served as venues for audit regulators in Asian and ASEAN countries to share knowledge and experiences on the supervision of auditors and financial reports and strengthen cooperation to build