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

found that {A} had been authorized by his client to make securities trading decisions on the client's behalf with high trading volume. The communication record showed that {A} traded the securities and

Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting

. Using the client’s identification card left with her to verify the identity, the password of the authorized person to approve the unit redemption transactions, and the client’s internet banking account

from persons who were not the owners of the accounts or were not authorized in writing by the investors. Their acts caused damage to the clients during February – November 2018.The misconduct of the

hereunder as evidence. Signature: ...................................................... Signature: .................................................. (…………………………………………….) (…..…………………………………….) Authorized

.?Business operators will be allowed to outsource activities, for instance, risk management, internal audit and control, information technology management, etc. Some important or expertise activities, will be

authorized access to the draft financial statements in the EY information system and the inside information given to him by Jeeraporn, who was assistant auditor holding the senior manager position of another

: .................................................. (…………………………………………….) (…..…………………………………….) Authorized person Authorized person Date: ......................................... Date: ....................................... Signature: ...................................................... Signature

had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person