prepared in writing with an approval from the company’s board of directors. Clause 3. The derivatives broker shall not trade derivatives contract or any other contracts with the same characteristics as
audit group. Warot and Jeeranan jointly purchased securities and entered into derivatives contracts whose underlyings were the securities price of such companies while the companies’ draft financial
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
Derivatives Investment Consultant