execution program. She also transferred her own money into the client’s trading account as a collateral for trading loss. Meanwhile, the client did not contradict or object to the record of confirmed
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht. The misconduct above led to the consideration that {A} failed to perform his duties responsibly with professional due care when he acc...
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
transactions must be transferred into the securities account of the responsible securites company only, and that accepting a deposit of shares from any investment consultant into investors? own trading accounts
to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely
transferred due to reasonable circumstances; (2.2) The NAV cannot be calculated fairly and appropriately; (2.3) There are causes and necessities in order to protect the benefit of the investors
and building previously used for such business. In this year, ABC sold the assets and transferred revaluation surplus to gain on sale of the assets presented in the income statement. The transfer was
by January 16, 2015.ABC ceased its garment business operation and did not utilize its land and building previously used for such business. In this year, ABC sold the assets and transferred revaluation