& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate

manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions

Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3

CAPITAL PUBLIC COMPANY LIMITED NFC PUBLIC COMPANY LIMITED NFORCE SECURE PUBLIC COMPANY LIMITED NGERN TID LOR PUBLIC COMPANY LIMITED NIRVANA DEVELOPMENT PUBLIC COMPANY LIMITED NOBLE DEVELOPMENT PUBLIC

securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior

and management of data and big data, which could help to develop, improve, and elevate internal data governance to support high-quality, secure data management and increase efficiency. The event took

contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client

covered topics such as “The First Step to a Million Begins with Saving,” “Preparing for a Secure Retirement,” and “Don’t Be Greedy, Don’t Click, Don’t Transfer.” The sessions were delivered to 100 staffs

consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients

Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions