? 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
suspended the approval for {A} as an investment consultant for complex instruments type 1** for nine months and 22 days, effective from 22 April 2020. Investors are strongly advised to be cautious and
}, 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
Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3
} assured his colleague that it was the client’s decision. Therefore, the transaction had been executed. However, when the authorization documents were brought to the client for signature, the client
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index https://www.sec.or.th
authorization. According to the conversation recorded, {B} had sent trading orders before notifying her client or sent out selling orders against of the client's instruction. {B} admitted that she had acted as
Sort by: Relevance Date (Newest) Date (Oldest) DRAFT , crude oil, or any other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable