obtaining the clients? instructions. They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions
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
authorization that {A} had obtained to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants can send trading orders only when obtaining instructions from
business without obtaining a license. The Court, therefore, sentenced the defendant to imprisonment for a term of 2 years and a fine of 200,000 Baht. Given that the Defendant pleaded guilty, which was
___________________________________ By virtue of Clause 3(4) of the Notification of the Securities and Exchange Commission No. KorKhor. 9/2552 Re: Rules on Application for Obtaining an Approval and Granting to Perform Trust Business
. Notification of the Securities and Exchange Commission No. KorKhor. 9/2552 Re: Rules on Application for Obtaining Approval and Granting to Perform Trust Business ___________________________________ By virtue of
, which shall be held within a specified period, and in any case, shall not be later than one hundred and twenty days as from the date of obtaining the license and the registration as an association related
Board TorThor. 31/2556 Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries 26/06/2013 16/07/2013 Report/Form (Notification of Securities and
associated with the delay of the Project has been disclosed to the shareholders prior to obtaining the approval of the renovation Project. As a result, the construction delays further impacted the available