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

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

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

; 3. it is reasonable and concluded on a fair price; 4. the expenses of which to be incurred by the trust (if any) is charged under a fair and appropriate rate; 8 5. when an acquisition of an

authorization of directors to bind the Company or any person authorized by such directors to have the power to negotiate and determine the details, terms and conditions and other procedures for the benefits of

advance. In this regard, the securities company shall set out the rules which requires a written authorization for seeking an approval. 12 As amended by the Notification of the Securities and Exchange

media shall seek an approval from the securities company in advance. In this regard, the securities company shall set out the rules which requires a written authorization for seeking an approval. 12 As

analysis in securities through mass media shall seek an approval from the securities company in advance. In this regard, the securities company shall set out the rules which requires a written authorization