: ...................................................... (…………………………………………….) Authorized person Date: ......................................... Remarks: 1. In case of authorization for submission of documents, a power of attorney is required. 2. In case of a juristic person, the

authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer

(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (General Case) Authority: the Office of the Securities and Exchange Commission (public agency) Rules

(Nine hundred and ninety-nine thousand nine hundred and seventy Baht). 2. There is an approval with authorization to board of executive directors to consider investing in newly-issued ordinary shares of

): ....................................................................................................................................................................................  Wish to apply for Company Account from the SEC Office in the following manners:  Not an urgent application (normal case)  An urgent application (a 30-day expiry from the SEC Office’s approval date

: ...................................................... (…………………………………………….) Authorized person Date: ......................................... Remarks: 1. In case of authorization for submission of documents, a power of attorney is required. 2. In case of a juristic person, the

involvement in the skytrain contract that they have allegedly operate railway systems or obtaining concession without the Interior Minister?s authorization. Then on January 16, 2013, the DSI set to summon some

person undertaking derivatives business without obtaining proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of  the Act. The SEC

practicable to employees of the securities company, including those entrusted by the company. Also, the procedures shall accommodate non face-to-face contact with the clients and the use of new or developing

within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be practicable to employees of the securities company