derivatives and securities trade order instructions, respectively. Obtaining authorization to make securities trading decisions on behalf of the client and failing to keep records of clients? derivatives or

clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the

client's child, as well as sometimes taking orders via mobile phone.{A}'s actions were deemed as obtaining authorization from client to make securities trading decisions on behalf of client; taking

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

& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate

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

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