Sunisa Chutinaton to pay a civil penalty totaling 1,917,937.50 baht. Civil sanctions imposed by the CSC will take effect when offenders sign a letter of consent, agreeing to comply with the sanctions. In

minor shall obtain a consent from the rightful representative before executing any legal acts and any acts executed by a minor without such consent shall be voidable unless regulated otherwise, etc

organizations that participate in projects Consent basis/Contract basis/ Legitimate interest basis Promotion of knowledge and sending news via email to subscribers, preparing pictures and news of activities of

? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders

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

the above regardless of the title, and includes any person who has full or partial authorization under an agreement of management; “member” means any member of a derivatives exchange. 3 Chapter 2

policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to

into a Consent Conditions Undertaking (CCU) with the three investors, which resulted in an obligation for PACE to repurchase a certain amount of the preferred stocks. Because the CCU may cause a