worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities

333/3 Viphavadi Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel: +66 1207 or +66 2695 9999 Fax: +66 2695 9660 e-mail: info@sec.or.th BU I L D ING BR IDGES INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 BUILDING BRIDGES Securities and Exchange Commission, Thailand Securities and Exchange Commission, Thailand Contact Information  This report is available for download on the SEC website: www.sec.or.th  For more information, p...

auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has

was notified by the competent officer to comply with such orders, Zipmex delivered only partial or incomplete information. In addition, Zipmex delayed the delivery of information requested by the

transactions in the wallet. In this regard, although he was notified by the competent officer to comply with such orders, he delivered only partial or incomplete information. In addition, he delayed the delivery

Thareerattanavibool, former director and Accounting and Finance director of AIE, jointly instructed AIE to make incomplete documents relating to products and raw materials involved in the sale of oil and the refining

. Anurag Thareratanavibool, former chief executive officer of AIE, jointly instructed AIE to make incomplete documents relating to products and raw materials involved in the sale of oil and the refining of

Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant ●  Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ●  Full

Exchange Act B.E.2535 . Preliminary version: incomplete and/or being reviewedinformation. Revised version: new report submitted by the reporter to replace theold one. Chain principle: indirect acquisition of

group percentage after theacquisition/disposition and the person(s) under Section 258 of the Securities and Exchange Act B.E.2535 . Preliminary version: incomplete and/or being reviewedinformation