Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
Classification : ใชภ้ายใน (Internal) Table of Contents Page Part 1: Business Operation and Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business
person who is appointed to be director or manager and the securities company by its authorized director, or in case of authorization by the securities company, the certified signatory shall at least be the
, representing the investment amount of Baht 500,000,000. In this regard, the Company has resolved to authorize the authorization of directors to bind the Company or the Chief Executive Officer or any person
mutual fund without authorization from the client. She did not clarify the details of the new fund and failed to assess the client's risk tolerance before giving investment advice, causing inappropriate
usually represented themselves as agents of foreign derivatives brokers licensed by foreign regulators and thus required no authorization from the SEC. Falling into the trap by transferring money to these
accessed the company's system to review the trading information without any objection. The actions of {B} and {C} were deemed as obtaining authorization from client to make securities trading decisions on
entrusted to make derivatives trading decisions for the client from January to June 14, 2011. {B}, however, did so on June 15, 2011 without the client's authorization and she admitted to such unauthorized
Wannapat signed the names of clients and the authorized checker on fund trading order forms without the actual signatures of either party, and used the checker’s password, without authorization, to approve