information, and proposed the agenda item to a shareholders meeting to seek approval of such transaction. The NCL Board of Directors Meeting No. 2/2567 dated 27 February 2024 therefore passed a resolution to
the Capital Market Supervisory Board No. TorChor. 72/2558 (2015) Re: Permission for Listed Companies to Offer Newly Issued Shares to Specific Persons (“Notification of Capital Market Supervisory Board
orders of derivatives and shares in large volumes without the client’s authorization. When the client’s account suffered a large amount of loss, {A} tricked the client into depositing more cash into the
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
Bangkok, January 23, 2012 - The SEC has revoked approval status of three investor contacts and suspended another for dishonest conducts and disclosure of client confidential information, effective
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
the transactions. Failure to record the client's securities trading orders and obtaining authorization to make securities trading decisions on behalf of the client are, respectively, in violation of
. 72/2558 (2015) Re: Permission for Listed Companies to Offer Newly Issued Shares to Specific Persons (“Notification of Capital Market Supervisory Board No. TorChor. 72/2558”), calculated from the