withdrawal slip, failed to make proper verification before she jointly co-signed company payment checks or withdrawal slips in advance with another authorized director, causing the company to suffer losses
authorized director, causing the company to suffer losses. His action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation
client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. {A} admitted that the client allowed him to sell the securities in cases of making profit or
Saroj submitted securities trading orders before notifying a client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. Acting Sub-lieutenant Saroj
-existent cars for the benefit of themselves or other persons, causing the company to suffer substantial damages. To prevent the alleged persons from removing or disposing of their assets, the SEC, on January
to invest in the securities also exceeded the amount approved by GEN executive board, resulting the company to suffer a 265 million baht loss. Serious weakness in GEN?s internal control relating to the
suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the
, without engagement in the brokerage business. ?The sharp decline in stock prices during the past several months has caused TSFC to suffer heavy osses on its proprietary investment portfolio, resulting
solicited its clients to use the company?s services to invest in overseas crude oils, which caused the clients to suffer damages, the SEC raided the company?s office at 170, 11st Floor, Ocean Tower 1, Room No
) for further action. Those who suffer damage from Glow?s action are urged to contact ECD at 0-2237-1199 To ensure proper legal protection, those who are interested in making investment in derivatives