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, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume. He
hereunder as evidence. Signature: ...................................................... Signature: .................................................. (…………………………………………….) (…..…………………………………….) Authorized
: .................................................. (…………………………………………….) (…..…………………………………….) Authorized person Authorized person Date: ......................................... Date: ....................................... Signature: ...................................................... Signature
the agency authorized to supervise derivatives trading as: □ being licensed to be a derivatives dealer; □ having been registered to be a derivatives dealer; □ being permitted to be a derivatives dealer
permitted to be a derivatives dealer without having to apply for a license or registration. By the authorized agency…………………………………… Country……………………………………………………………… 2.2 Regulation on scope of business operation
Connected Transaction, 2003 as follows; 1. Related party transaction between Carnival Magic Company Limited and the relating company The Company's Board of Directors' meeting has approved the transaction
from a person being neither account owner nor account owner's appointee and failing to keep confidential client's information. In addition, the SEC suspended him from duty as an approved capital market