obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
the transactions. Failure to record the client's securities trading orders and obtaining authorization to make securities trading decisions on behalf of the client are, respectively, in violation of
financial statements for the year ended December 31, 2018) and when combining with assets disposition during the past 6 months, total size of transaction is equal to 12.95% which is lower than 15% of the
the company’s consolidated financial statements for the second quarter ended June 30, 2019) and when combining with assets disposition during the past 6 months, total size of transaction is equal to
. Mr.Voraphot Chanyakomol 3. Mr. Suebwong Kaewthipharat 4. Mr. Pisit Wannavalee Authorization of directors : Any two directors from Mr. Pana Janviroj or Mr. Voraphot Chanyakomol cosigns with Mr. Suebwong
per share, totaling transaction value of Baht 1,695 million (“The Acquisition”), and the authorization of directors and/or any person authorized to have power to determine and perform any procedure
: ...................................................... (…………………………………………….) 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