as she allowed Suthee to submit securities trading orders for the client's securities account. She also received incentive payments from such trading. Trading securities on behalf of the client and
Securities Company Limited, had made trading orders before informing the client who did not make any objection and made payments for the trading transactions. The trading activities involved shares and
cooperation, the MOU aims to assist teachers and educational personnel in solving their debt problems in a concrete way. This includes increasing liquidity for debt payments, promoting good quality living
spot market, open trading accounts and trade through website www.goldexasia.com. It was, however, found that there was no gold delivery while payments were not made in full for trading transactions
undertaking PVD management business to acquire necessary data of PVD members. Such data would enable AMCs to contact and identify PVD members before making direct payments to eligible persons. The proposed
the documents evidencing title to the securities being offered (including temporary documents of title, if applicable) to subscribers or purchasers; and (b) the book-entry transfers of the securities
cause the payments from TUCC bank account, claiming to use for the payments of the said BF and ASC cheques. The SEC findings revealed that some parts of the money withdrawn from TUCC bank account were
? money intended for payments of investment unit purchases for personal gains.In so doing, they did not execute their clients' purchase transactions via the bank system, counterfeited fund passbooks and
revenue of THB 1,514.0mn, an increase of THB 1,061.8mn or 234.8% YoY of which, THB 1,355.4mn, or 89.5% of the total revenue was from the units transfers of 8 real estate projects. Total revenue for the full
such dual-purpose tests. Accuracy of interest incomes recognized was not tested to ensure whether clients actually ceased to recognize interest income after the three consecutive periods of non-payments