authorization before beginning any other activity.The SEC therefore proposes to amend the rules governing the undertaking of other businesses according to the resolution of the Capital Market Supervisory Board
have a written authorization from investors only.__________________Notes:* Pursuant to Clause 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1
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
with them. Some even gave authorization for the companies? staff to submit trading orders on their behalf.The said actions were deemed as undertaking derivatives business without license in contravention
authorization from his client and made SBL trading decisions for the client when there was profit or risk with the client's account. He then informed his client via telephone with regard to the profit and loss on
and ethic as well as deny any clients? authorization to trade securities or derivatives on their behalves."
member jurisdiction to offer CIS constituted and authorised in that jurisdiction ("ASEAN CIS") to retail investors in other member jurisdictions under a streamlined authorization process. The signatories
, the Board of Directors and Audit Committee has agreed that it is reasonable to assign MTC to manage this amount of money as they are potential to implement the effective cash management right their
to be reasonable in the present situation and compared to the carrying amount of assets related to the license. The Company recognized loss on impairment of investment in the warrants of Baht 83.61