failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment

, without derivatives fund management license, had jointly managed funds for others for profits from derivatives investment.  In so doing, they solicited and invited persons who wanted to invest in

Sakkarin while in fact Sakkarin did not execute any purchase order of such shares. Later, Sakkarin lied to the client that his shares in the client's account had been sold with capital gain and he wanted his

of SK1 shares at the amount of 100 million baht. This was done after SK1 had been placed in absolute receivership by the Central Bankruptcy Court's order. Bhusana knew of the fact but still wanted IEC

for the persistent problems. Over two years, we advocated for a renewed focus on director skills and qualifications, given the changing nature of the company’s challenges. Moderate Engagement There are

globally, so as to address persistent deficiencies in listed public interest entity  audits. To achieve this goal, the AARG will ramp up its engagement with the Big-Four audit firms? leadership to address

from investment scams via various new forms and channels. In this regard, the SEC has observed a persistent trend of investment scams related to the capital market, with scammers often using online

continued to expand, it has still been affected by high levels of household debt as well as persistent low prices for agricultural products. The performance of the company in this quarter is still in line

/ Frequent / Persistent 7 VE scale of assessment: Minor / Significant / High / Critical 8 VE scale of assessment: Non-communicative / Reactive / Remediative / Proactive 3  Verification – The KPI will be

performance drives earnings persistence. His findings are consistent with firms with more persistent earnings are fundamentally stronger. Yao (2014) also documents that certain fundamentals – namely the