obtaining client consent in cases where the business operator is unable to maintain net capital, in case of a transfer ordered by virtue of other laws and a transfer when the business operator intends to
of the Department of Special Investigation, the Governor of the Bank of Thailand and the Secretary-General of the SEC. With consent of the Civil Penalty Committee to commence the civil penalty
., Ltd. in 99,997 shares which is 99.997% of the capital at 10.00 Baht per share (par value) in total value of 999,970.00 Baht. 2. There is an approval with authorization to board of executive directors to
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
: ....................................................... (…………………………………………….) Authorized person Date: ......................................... Remarks: 1. In case of authorization for submission of documents, a power of attorney is required. 2. In case of a juristic person, the
through the loan transaction of 60 million baht to VBB on 1 October 2013 for construction of advertising billboards. However, since such transaction size exceeded the 50-million-baht authorization limit of
, starting from December 22, 2015. On other cases, {B} was found accepting orders to trade securities in a client's account from a person who was not the owner of the account without any written authorization
from a person who was not the owner of the account without any written authorization, and causing a misunderstanding that there had been a conversation with, and acceptance of trading orders from, the