his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with

records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send

}, the capital market investment consultant received trading orders from the person who was not owner of securities trading account without any written  authorization letter. From the recorded conversation

person undertaking derivatives business without obtaining proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of  the Act. The SEC

orders of derivatives and shares in large volumes without the client’s authorization. When the client’s account suffered a large amount of loss, {A} tricked the client into depositing more cash into the

} assured his colleague that it was the client’s decision. Therefore, the transaction had been executed. However, when the authorization documents were brought to the client for signature, the client

found at http://investor.ais.co.th/newsroom_set.html 2. In December 2017, the NBTC has announced new progressive rates of the license fee. Operators are required to calculate the new rates retroactive

’ participation in the ASEAN CIS Framework marks a progressive step towards greater integration of ASEAN capital markets. The enhanced reach of the platform will open up new opportunities and markets to both

reporting environment, the AARG must continue to be progressive and work closely with the profession to raise audit quality standards and provide reliable financial reporting in ASEAN.? _________________ 

authorization of such person or any place where documents, evidence or property of the special purpose juristic person are stored, during the hours between sunrise and https://www.sec.or.th/EN/Documents