through local licensed intermediaries in the host country must be authorized or approved for establishment and offering for sale to the public in the home country and must have the characteristics in

Eng Securities (Thailand) Plc. that {A} had been authorized by two clients to make securities trading decisions on their behalf. Before this matter was reported to the company, {A} had told her branch

SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make

the report from Asia Plus Securities Plc., the SEC probed into the case and found that {A} had been authorized by her client to make derivatives trading decisions on the client' behalf. The client was

customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities

Bangkok, April 25, 2013 - The SEC suspended {A} of KT Zmico Securities Co., Ltd., for five months. The KT Zmico Securities Co., Ltd. reported to the SEC that {A} had been authorized by her clients to

by the authorized persons as specified in the terms and conditions governing bondholders’ rights;        (2) Amendments to the criteria governing the use of proceeds, requiring issuers to apply the

quarter of 2016 to the third quarter of 2017 of seven listed company clients by taking advantage of Mr. Warot’s authorized access to the draft financial statements in the EY information system and the

Mr.Anurak Chueachai Bitkub Online Co., Ltd. (Bitkub) by Mr. Sakolkorn Sakavee, Chief Executive Officer and authorized director, entered into a market maker agreement with Mr. Anurak Chueachai. They

Mr.Anurak Chueachai Bitkub Online Co., Ltd. (“Bitkub”) by Mr. Sakolkorn Sakavee, Chief Executive Officer and authorized director, entered into a market maker agreement with Mr. Anurak Chueachai. They