obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re

Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and

the transactions. Failure to record the client's securities trading orders and obtaining authorization to make securities trading decisions on behalf of the client are, respectively, in violation of

director, or any person who holds a position equivalent to any of the above regardless of the title, and includes any person who has full or partial authorization under an agreement of management; “affiliate

One of the objectives of the Thai capital market development plan is to enable the public to access and utilize the capital market for savings and investment purposes. SET has taken steps to

, called Five Steps toward Investment Confidence” project that is the answer to all issues concerning long-term financial stability.The SET in the City 2018 event runs from November 15-18. The SEC “Check

a starting point for mapping out a personal financial plan before taking the next steps toward informed and educated investment decisions,? said SEC Secretary-General Rapee Sucharitakul. The SEC Open

management companies must provide explanation concerning the funds for investors? understanding and must also take necessary steps to ensure that investors learn of associated risks prior to making investment

equivalent to any of the above regardless of the title, and includes any person who has authorization under an agreement, whether fully or partially, to manage; “affiliate” means an affiliated company as

. Mr.Voraphot Chanyakomol 3. Mr. Suebwong Kaewthipharat 4. Mr. Pisit Wannavalee Authorization of directors : Any two directors from Mr. Pana Janviroj or Mr. Voraphot Chanyakomol cosigns with Mr. Suebwong