records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send
}, the capital market investment consultant received trading orders from the person who was not owner of securities trading account without any written authorization letter. From the recorded conversation
person undertaking derivatives business without obtaining proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of the Act. The SEC
orders of derivatives and shares in large volumes without the client’s authorization. When the client’s account suffered a large amount of loss, {A} tricked the client into depositing more cash into the
} assured his colleague that it was the client’s decision. Therefore, the transaction had been executed. However, when the authorization documents were brought to the client for signature, the client
impacted credibility of the Thai capital market significantly. To restore the credibility, all relevant stakeholders, not only the investment management industry but also the SEC, the SET, auditors
necessary; (2) segregate access control roles, e.g., access request, access authorization, and access administration; (3) at a minimum, identify the networks and network services which are allowed to be
(access authorization) และบุคคลผู้บริหารสิทธิการเข้าถึง (access administration) เป็นต้น (3) นโยบายในส่วนของการควบคุมการเข้าถึงระบบเครือข่ายคอมพิวเตอร์ ขั้นต่ าต้องครอบคลุมถึงการระบุ ประเภทหรือบริการทางเครือ
) segregate access control roles, e.g., access request, access authorization, and access administration; (3) at a minimum, identify the networks and network services which are allowed to be accessed and
authorization of such person or any place where documents, evidence or property of the special purpose juristic person are stored, during the hours between sunrise and https://www.sec.or.th/EN/Documents