, trading instruction or negotiation is made by telephone or via electronic means, the securities https://publish.sec.or.th/nrs/65pe_r.pdf is made by telephone or via electronic means, the securities company
instruction of the SEC, such kind of debt could not be legally recorded in the financial statement in accordance with the applicable accounting standards. In addition, one of the appointed legal advisor was
authorization. According to the conversation recorded, {B} had sent trading orders before notifying her client or sent out selling orders against of the client's instruction. {B} admitted that she had acted as
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
act which results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or
, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person authorized in writing from the
1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this
This instruction follows CIG’s letter dated 4 September 2025 explaining details from its Board Meeting No. 7/2025, including supporting information on the Board’s resolution to acquire ordinary
client's account without the client instruction. {C}'s actions were deemed trading securities on behalf of investor and non-compliance with investor contact's standards of conduct.In case of {D}, the SEC
2,106,167.05 baht, thereby causing losses to the clients. The misconduct involved the following actions: (1) selling investment units belonging to Client 1 without the client’s instruction and withdrawing the