both accounting periods, as the financial statements were not in conformity with the generally accepted accounting standards in these following items:1. YNP?s records on the allowance for doubtful
applying for approval using similar qualifications of investor contacts approved by or registered with any foreign regulatory organizations accepted by the Office, the application shall be submitted by the
that these failures to record such details in the financial statements resulted in a non-compliance with the generally accepted accounting standards.In addition, SCAN?s auditor observed that SCAN has not
the company, regardless of the job title; (8) “Fund Manager” means fund manager approved by the Office of the Securities and Exchange Commission according to the notification of the SEC Office governing
has been approved or registered to perform duties similar to investor contact from a regulatory organization of the countries accepted by the Office, in case the investor contact has obtained approval
period and his re-application for approval as the capital market personnel will be accepted after 9 months as from June 23, 2015. For Kacha, The SEC suspended him from the approved securities investment
") member states. As a consequence, the SEC approved auditors will be exempted from registering with respective audit regulators of EU. SEC Secretary-General Vorapol Socatiyanurak said ?The EC?s recognition
client accepted the proposed transactions. At the end of trading day, {A} notified the amount of money to be received or paid whereas the client did not reject or decline the transactions. In case of {B
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities