Global Markets Ltd. (Navista) for operating derivatives business without license. Following the reports on their suspicious unlicensed derivatives activities, the SEC conducted raids on GISP?s office

both accounting periods, as the financial statements were not in conformity with the generally accepted accounting standards in these following items:1.  YNP?s records on the allowance for doubtful

intention to illegitimately seek benefits from client?s assets. Following the complaint filed by the clients of Siam City Securities Co., Ltd., and the company?s auditing report where numerous clients had

dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodged by clients of Siam City Securities Co., Ltd., and the company?s report on investigation spurred from

total revenues came from a major counterparty. 2.  In term of due diligence, failure to have the following information disclosed:(1)  Debt repayment ability of a large debtor which is also the applicant?s

of Special Investigation (DSI) for manipulating the share price of TWZ Corporation Plc . (TWZ) during the following periods: (1) September 28 to October 26, 2007, (2) April 28 to May 15, 2008, and (3

to Thai capital market as stated in the Master Plan for Capital Development approved by the Cabinet and the SEC?s strategic plan for 2010-2012.The SEC will push forwards the following aspects, in

identified, e.g., profits generated from normal business operation with potential recurring in the following years as opposed to those from speculative transactions during economic upturn such as profit from

Bangkok, May 30, 2011-  Following Thoresen Thai Agency Plc., (TTA)disclosed through the Stock Exchange of Thailand (SET) that on May 27, 2011, 75 shareholders claiming to hold  72,212,550 shares or

committed the misconducts while working at Globlex Securities Co., Ltd. and later at KTB Securities (Thailand) Co., Ltd.  Following the inspection reports of Globlex and KTB and her clients? complaints, the