to prepare an audit plan that appropriately reflected the relevant risks. The audit procedures were also inadequate. In addition, the reporting of audit results was ineffective. DAB Act S.30

procedures were also inadequate. In addition, the reporting of audit results was ineffective. DAB Act S.94 in conjunction with 30 Settlement Committee Meeting No. 6/2026 Settlement Committee Order No. 12

increase via private placement (PP) to become ineffective until the SEC shall order otherwise.  This follows POLAR?s announcement concerning (1) additional agenda of Extraordinary General Meeting (EGM) No.1

trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities

: The Operating results of the company and its subsidiaries Explanation of the operating performance for the 3-month period ended March 31, 2018 as in the consolidate financial statement has net loss 9.19

money to the company as originally intended by the client. Instead, he used the money for his own benefit. As a result, the client’s life insurance policy became ineffective and the client suffered

on the company?s Q1/2013 operating profit of 184.10 million baht. The profit marked significant increases of 182.47 percent from its Q1/2012 net loss of 223.23 million baht, and 145.60 percent from its

any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission SorThor. 42/2540

admitted that the client allowed him to sell the securities in cases of making profit or potential loss. From his conversation with the client recorded, he traded securities for the client several times a

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