. Using the client’s identification card left with her to verify the identity, the password of the authorized person to approve the unit redemption transactions, and the client’s internet banking account
performing any action in violation of law.The SEC probe into the case and found that the four investment consultants, responsible for securities trading accounts of overseas brokers (omnibus account
his dividend payment unless his securities were transferred to another person?s account. She then transferred the client?s five stocks worth 5 million baht at the time into her own account and three
reference. 2 Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and
reference. Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and
duty with responsibility and deliberation as a professional. Her misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended her approval as
accounts with permission of the account owners. However, the account owners did not authorize those persons in writing.Trading securities and derivatives on behalf of clients and receiving orders from any
reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment