complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within
, which shall take into account the standards approved by the Board of Auditing Practices under the law relating to auditors. The financial statements under the second paragraph must be examined and given
. Nonetheless, she neither examined KYC/CDD documents of the client and the beneficial owner, nor recorded the beneficial owner's identity. In this case, the beneficial owner was an executive and a shareholder of
have investigated the Group’s and the Company’s processes and procedures over the recognition of advertising revenues. As a result, the management have noted that some previously recognised advertising
market business during the period he is prosecuted. In addition, the SEC investigated the Investment Committee of Solaris Asset Management Co., Ltd. in authorizing the mutual fund to invest in debt
securities company?s report on Pongsa?s alleged defrauding of client assets during 2005-2007, the SEC investigated further into the case and found that Pongsa had transferred securities from a client?s account
SECC Chairman Sompong Witthayaraksan had reportedly disappeared and fled the country in November 2008, the SEC investigated into the case and found that as of December 15, 2008 SECC inventory recorded
SEC investigated further and found that Mr. Konoshita ordered Group Lease Holding Co., Ltd. (GLH), a subsidiary of GL based in Singapore, to issue loans to several foreign companies.Evidence showed that