securities trading account to trade securities for others and accepting authorization to make securities trading decision on behalf of client, in violation of Clause 20(1) and (2) of the Notification of
client's child, as well as sometimes taking orders via mobile phone.{A}'s actions were deemed as obtaining authorization from client to make securities trading decisions on behalf of client; taking
indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries. The acts of {A} and {B
authorization that {A} had obtained to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants can send trading orders only when obtaining instructions from
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
conversions seemed to set investment framework for {E} to make trading decision and then inform the client afterward. This could be considered as misconduct for obtaining authorization to make derivatives
FACTORY OUTLET PUBLIC COMPANY LIMITED 2020 31/03/2021 Click here to display all results Finanacial Statements ( 22 record(s) found) Year Status Type Period As Of Audit Financial Statement MD&A Financial
applicant. In 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