financial statements. In addition, the auditor was unable to express opinion on the company?s 2012 financial statements due to limitation on scope of audit imposed by its management in several matters
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
the trading volume of such shares on a large scale. In addition, several trading orders were matched within the same group, causing the PYLON trading to be inconsistent with the normal market condition
nationality, on account of operating securities business without license.? Several foreign investors informed the SEC that Mr. Malpass, who resided in Thailand, had solicited them to transfer their pension
or conspired with nine other persons to manipulate the price and trading volume of UMI shares by trading such shares continuously in concealment through several trading accounts to the point where the
Court ruled against the accused for violating Section 56, Section 274 paragraph 1, and Section 300 of the SEA. As the accused committed the several distinct and different offences, the Court inflicted the
Mr. Mitsuji Konoshita Mr. Konoshita ordered Group Lease Holding Co., Ltd. (GLH), a subsidiary of GL based in Singapore, to issue loans to several foreign companies. Evidence showed that GLH had
, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading