instructed POLAR to conduct a special audit on the sources, existence and completeness of the accounting records and the disclosure in the financial statements of the liabilities whose material information

into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close

} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading

), reports on acquisition and disposal of securities (Form 246-2) and tender offer records. Currently, all of the above are ready to serve at www.cgthailand.org.        ?The SEC has determined to promote

investment loss must be provided and records on giving advices to clients must be kept.

investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives

million baht of net profit in Q4/2009, it posted 59.77 million baht or 270.21 percent decrease. The information was significantly different from the company's previous records showing profit in every

records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make

Technology (1999) Plc. (PRO) to make incorrect and inaccurate accounting records from Q2/2006 to Q1/2009 concerning loans to other parties, investment in aluminum processing project, and the purchase of

securities public offering (PO). The revised rules require the issuers of non-listed company not have any records of severe misconducts for a certain period prior to securities offering submissions. For