indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries.  The acts of {A} and {B

Bangkok, October 1, 2012 - The SEC imposed administrative sanctions on seven investment consultants/analysts by revoking approval of {A}, suspending {B} of Bualuang Securities PLC, {C} of Kasikorn

, regardless of the client's permission.  In this regard, the aforesaid {B}'s  actions are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval

2: Consideration and approval of the authorization for the bondholders' representative to enter into a settlement agreement with the company in court, according to the terms approved by the

? 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

} 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

. Mr.Voraphot Chanyakomol 3. Mr. Suebwong Kaewthipharat 4. Mr. Pisit Wannavalee Authorization of directors : Any two directors from Mr. Pana Janviroj or Mr. Voraphot Chanyakomol cosigns with Mr. Suebwong

per share, totaling transaction value of Baht 1,695 million (“The Acquisition”), and the authorization of directors and/or any person authorized to have power to determine and perform any procedure