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

in material matters and the SEC had called for clarifications several times.* Later, EARTH hired two more Indonesian appraisers and disclosed the appropriate values of both coal mines at

. However, Surin did not agree to comply with the civil sanctions. Later, on 26 December 2018, the public prosecutor filed a lawsuit against Surin with the Civil Court, as requested by SEC, in order for

in the subsequent processes after the complaint filing to support law enforcement under the SEA.__________________________Remarks:* The company’s name at the time of the wrongdoing, which was later

client's previous investment. The trigger fund later incurred loss to the client. The SEC has suspended {C} as a securities investment consultant and banned her from performing duties as a branch manager for

companies, investors then misled that they gain high returns at the first stage but not allowed to withdraw their profits. Later on, the companies will notify their clients to add more money due to investment

July 2016. {X1} later revised and improved the working system of its securities business and set up more efficient measures for preventing and detecting irregularities thereof.Investors are strongly

EMC Audit Committee agreed with IFA that the transaction is not appropriate.    Later, EMC sought legal opinion from independent legal advisor. The independent legal advisor?s opinion on legal risk is

later informing the client at the end of the day. The acts of {B} , {E}, {F}, and {G} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555

criminal justice administration; whereby the court will judge the case accordingly.For three audit committee members who were reported of the suspicions by the auditors, they later explained to the SEC that