& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate

authorization from his client and made SBL trading decisions for the client when there was profit or risk with the client's account. He then informed his client via telephone with regard to the profit and loss on

found that he had been authorized to trade securities on behalf of the client. He had also used his client's account to trade securities for the benefit of himself with one day permission and credit line

Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3

Re: Application Form for Permission for Offer for Sale of Newly Issued Debt Securities and Reporting (No.2)

securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior

contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client

Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions

internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in

Unofficial translation FORM 35-E2 Letter of Consent (Inspection of the director and executive’s qualification on the company’s request) Attention: Secretary General, the SEC Office Whereas I