2007 to August 2010, she had traded securities through the client's account as she realized that the client did not check his trading records. In case of losses or making payment for purchase, she will
Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip
POWER-P to pay 45 million baht higher than actual value as deposit for shares purchase of another company. In addition, he permitted false records or no record of important information in the company?s
market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders. He
e-service Online Submission See canceled document Securities Borrowing and Lending >> Accounting and Records (section 105) Type Title Section See Document Status Notified Date Effective Date 1. Act
concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed http://market.sec.or.th/public/idisc/en
penetration testing frequency to once every three years, increasing controls for generic user accounts, and maintaining incident records for at least two years with root cause analysis; (4) To adjust the
three years, covering additional access control measures to include both user accounts (or non-administrator accounts) and privileged accounts, and maintaining incident records with root cause analysis
value of each year for the last three years, and trading suspension records;(5) To prepare financial statements for the past three years and the latest quarter in accordance with the determined
securities for the client's account. Besides, communication records between {A} and his client showed his promise to payback. Making trading decisions on securities in the client's account without the client's