control system, inability to audit outstanding balance of petroleum gas stock inventory, gas tanks deposits, financial institutions accounts payable, and trade accounts receivable. In addition, the auditor
customer who is listed as a designated person or who has or had conducted transactions with such a person. Failure to do so may result in criminal penalty. In addition, a director, a manager, or a person
or giving any advice to the client, he signed such selling order form in the capacity of an investment consultant. In addition, he neither examined the transaction nor requested for additional
} proposed his clients the portfolio investment in advance and the clients accepted all transactions proposed. In addition, the recorded conversation showed that {A} specified securities, prices and amount to
investments against an adverse market climate. In addition, new perspective in enhancing business competitiveness by improving financial and capital market environments was crucial for capacity building of Thai
addition, Budget Management and Design Co., Ltd., Montian Pongkiatkong and Chai Pongthanawaranont (or Kittiwut Athawatanat) were also convicted as aiders or abettors. On October 4, 2005, the SEC filed a
the Project, business operators will gain knowledge and better understanding about capital market, relevant fund raising rules and regulations, and preparation for going public. In addition, they will
derivative warrant but did not inform the client of maturity date. In addition, there was no source of trading orders of her clients where {A} described that the clients submitted trading orders via mobile
client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. {A} admitted that the client allowed him to sell the securities in cases of making profit or
information thoroughly and exercise their rights to protect their own benefits. In addition, they should seek further clarifications from the company?s directors and executives to obtain adequate information