operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
particular, she failed to properly discharge her professional duties with loyalty, to provide services with honesty, and to perform her duties with professional due care. The SEC therefore suspended approval
of the Department of Special Investigation, the Governor of the Bank of Thailand and the Secretary-General of the SEC. With consent of the Civil Penalty Committee to commence the civil penalty
Independent Director of an Intermediary 03/06/2014 01/07/2014 10. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be
denied the authorization of the whole arrangement. {D} and {A} subsequently entered into an agreement with the client whereas the client agreed to formalize the past buying transaction by signing the
been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; (3) provide a contract or an agreement on the custody
Exchange Commission No. KorThor.29/2545 Re: Custody of Client Assets of a Securities Company (No. 2), dated 28 March 2002. (Translation) -3- (3) provide a contract or an agreement on the custody of client’s