client's child, as well as sometimes taking orders via mobile phone.{A}'s actions were deemed as obtaining authorization from client to make securities trading decisions on behalf of client; taking

indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries.  The acts of {A} and {B

authorization that {A} had obtained  to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants  can send trading orders only when obtaining instructions from

conversions seemed to set investment framework for {E} to make trading decision and then inform the client afterward. This could be considered as misconduct for obtaining authorization to make derivatives

ทวนความรู้ท่ีเก่ียวขอ้งท่ีจะใชป้ฏิบติังาน (refresh) จึงไม่สามารถมอบหมายใหบุ้คคลอ่ืน เขา้รับการอบรมดงักล่าวแทนได้ 2.5 การขยายระยะเวลาผอ่นผนัการมี head of compliance ท่ีมีคุณสมบติัตามท่ีประกาศก าหนด

การกดที่ไอคอน “C” ที่มุมล่างซ้ายของหน้าเว็บไซต์ จากนั้นเลื่อนปุ่ม เพื่อเลือก “เปิด” หรือ “ปิด” แล้วคลิก “บันทึกและปิด” โดยคุณอาจต้อง refresh หน้าจออีกครั้ง เพื่อให้การเปลี่ยนแปลงตัวเลือกของคุณทำงาน

: ...................................................... (…………………………………………….) Authorized person Date: ......................................... Remarks: 1. In case of authorization for submission of documents, a power of attorney is required. 2. In case of a juristic person, the

2: Consideration and approval of the authorization for the bondholders' representative to enter into a settlement agreement with the company in court, according to the terms approved by the

not to allow investment consultants to make investment decisions for them. In case of assigning other persons to send trading orders on investors’ behalf, a written authorization is required. In any

Thavaramara said: ?The SEC strongly advises against pre-authorization on blank forms or documents of any kind to prevent investment consultants from using such documents to seek unlawful personal gains. Also