usually represented themselves as agents of foreign derivatives brokers licensed by foreign regulators and thus required no authorization from the SEC. Falling into the trap by transferring money to these
accessed the company's system to review the trading information without any objection. The actions of {B} and {C} were deemed as obtaining authorization from client to make securities trading decisions on
entrusted to make derivatives trading decisions for the client from January to June 14, 2011. {B}, however, did so on June 15, 2011 without the client's authorization and she admitted to such unauthorized
Wannapat signed the names of clients and the authorized checker on fund trading order forms without the actual signatures of either party, and used the checker’s password, without authorization, to approve
today affirms integrated collaboration of the institutional investors which will bring about even more solid self and market disciplines to drive capital market industry. For retail investors, the SEC
Capital Market 'Work' for Everyone", which aims to drive sustainable growth across all sectors by promoting the importance of freedom and equality." remarked Rinjai Chakornpipat, SET senior executive
, authorization granted to the Office of the Insurance Commission to establish criteria and performance of duty of agents and brokers for broader scope and greater flexibility, as well as greater power of registrar
., Ltd. in 99,997 shares which is 99.997% of the capital at 10.00 Baht per share (par value) in total value of 999,970.00 Baht. 2. There is an approval with authorization to board of executive directors to
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance