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
IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by
, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by
inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the outsourcing contract with Bann Tongkum Co., Ltd. where
. Their misconduct also included arranging or allowing fabrication of accounting records inconsistent with the facts to deceive other persons. The 25 persons charged with the criminal complaints are as
investment consultant to take the said action. This led to an incomplete client analysis and inappropriate investment inconsistent with the client's demand and acceptable risk level. The SEC has suspended {E
submitted an incomplete registration statement (FORM 69-PP-PRICING) which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 7/2024 Settlement
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
securities were inconsistent with the normal market conditions. In addition, she continuously traded SALEE securities causing the trade of such securities to be inconsistent with normal market conditions to