: ...................................................... (…………………………………………….) 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

authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer

derivatives and securities trade order instructions, respectively. Obtaining authorization to make securities trading decisions on behalf of the client and failing to keep records of clients? derivatives or

clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the

securities trading account to trade securities for others and accepting authorization to make securities trading decision on behalf of client, in violation of Clause 20(1) and (2) of the Notification of

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

. In 2017, the Company’s subsidiary which the Company hold 60% share, recorded the amount of 2,080 million baht of profit from the sale of Grand Center Point Rachadamri Hotel. On a prorated basis of

ผู้จัดการกองทุน/ ผู้จัดการลงทุนในสัญญาซื้อขายล่วงหน้า   28. หนังสือเวียน ที่ กลต.น./ธ.(ว) 12/2553 มาตรการดำเนินการบันทึกคะแนนความผิด (point system)   24/05/2553     รายชื่อประกาศเกี่ยวกับคุณสมบัติและ