derivatives trading account in order to continue trading. She later made a summary trading report under the client’s account and sent it to the client for acknowledgement. In so doing, she concealed the trading
discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the
violation of law or relevant regulations is found or false information is disclosed or material information is concealed, the SEC would be able to take further action by virtue of the Securities Law. The
Official Dated 16/10/2017 misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting
Securities and Exchange Act. On 16 October 2017, the SEC filed a criminal complaint against the GL management with the Department of Special Investigation (DSI) on account of concealed transactions
found to have concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.{A}'s misconduct is deemed irresponsible and
Vanatsavadee failed to perform duties or give services honestly. In addition, there was a reason to believe that she had failed to perform duties or provide services properly* and concealed wrongful acts while
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
misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed
, transmitted, received, kept or processed by electronic means. The terms “listed company,” “subsidiary company,” “related person,” “executive,” “major shareholder,” “controlling person,” and “consolidated