incomplete or incorrect information to the investor and failing to give or disclose material information that may have affected the investor's decision making, {A} failed to perform duty with responsibility
, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from
>> Procedure for Incorrect Pricing Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and Exchange Act 2535 117 12/03/1992 16/05/1992 Contact The Securities and
company. This is to help prevent any deficiencies and mitigate the risk of issuing incorrect financial statements;Selecting auditors with quality and expertise by assessing audit quality aspect rather
, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records. The nine offenders are: (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director
the mutual fund needs to be dissolved. Division 3 Action to Take When an Investment Unit Value or Investment Unit Price is Incorrect ___________________ Clause 13 In this Division: “price compensation
the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in
value of the businesses and help mitigate risks associated with incorrect financial statements. In this regard, FAP is well aware of the importance on this matter and will push forward to include the
documents in full according to the procedures specified in the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or filled up at the