authorization from client to make securities trading decisions on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for
his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with
records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send
}, the capital market investment consultant received trading orders from the person who was not owner of securities trading account without any written authorization letter. From the recorded conversation
person undertaking derivatives business without obtaining proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of the Act. The SEC
consideration and approval of all matters under items 2 to 4 are not approved by the Shareholders’ Meeting. 6. It was resolved to approve the authorization of either the Chief Executive Officer or the person
and social development, the issuer must comply with an internationally recognized standard. For example: (a) Green Bond : ASEAN Green Bond Standards (ASEAN GBS) or International Capital Market
right-of-use assets as a result of the adoption of the new financial reporting standard in year 2020 and increase investment in technology and information system. 2. Total liabilities increased 31,457,336