? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s
authorization from client to make securities trading decisions on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for
his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with
records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send
}, the capital market investment consultant received trading orders from the person who was not owner of securities trading account without any written authorization letter. From the recorded conversation
person undertaking derivatives business without obtaining proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of the Act. The SEC
equivalent to any of the above regardless of the title, and includes any person who has authorization under an agreement, whether fully or partially, to manage; “affiliate” means an affiliated company as
. at Meeting Room 11B, Interlink Tower (former Nation Tower), Bangna Trad Road, Bangna, Bangkok 10260, and the authorization to the Company’s Chief Executive Officer to consider amending agenda items
consideration and approval of all matters under items 2 to 4 are not approved by the Shareholders’ Meeting. 6. It was resolved to approve the authorization of either the Chief Executive Officer or the person