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
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
meeting was convened to set the strategic direction and advance cooperation under the ACMF Action Plan 2026–2030. The Chairs endorsed the work plans and budgets of key working groups to further strengthen
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
case the application is submitted by an authorized person and the evidentiary documentation is incorrect or incomplete, the authorized person must show a written authorization from the applicant to sign
monitoring and coordinating with the business operators, we have found that they have implemented their BCP to manage possible impacts of COVID-19 and opened an alternative site or installed remote working
Bangkok, May 10, 2016 ?? The SEC invites investors and the public to visit SEC Café Working Space at Money Expo Bangkok 2016 to learn more about smart saving and investment tools that could help them
Bangkok, May 10, 2016 ? The SEC invites investors and the public to visit SEC Café Working Space at Money Expo Bangkok 2016 to learn more about smart saving and investment tools that could help them
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