, which Sakkarin confirmed that it could be done, but no money from the sale order was deposited into the client's bank account.Sakkarin's aforesaid misconduct was a failure to perform duty honestly by
features. Such conditions may mislead investors into believing that B/E is entitled to the same protection as bank deposits when in fact transferors of B/E are subject to recourse by subsequent buyers. In
structured features. Such conditions may mislead investors into believing that B/E is entitled to the same protection as bank deposits when in fact transferors of B/E are subject to recourse by subsequent
weighted average exchange rate of Bangkok Bank at 32.72 Baht/US Dollar as of 5 September 2018) 5. Value of assets acquired or disposed - 1,585,787.55 Baht 6. Criteria on pricing - Pricing is an agreement
are some issues inconsistent with the generally accepted accounting standards, as follows: 1. NIPPON has not recorded liabilities on promissory notes and current account with a local bank
that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to
the manner that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate
distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to-date. Also, the
check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The