not to allow investment consultants to make investment decisions for them. In case of assigning other persons to send trading orders on investors’ behalf, a written authorization is required. In any

investors to use its services, either via its website or Facebook Page: {X1}. On 5 April 2021, the SEC issued a warning letter requiring {X1} to submit a written response but {X1} failed to submit a response

return rate and the investment term were written on the cover of the client's fund book. The SEC has therefore suspended approval for {B} as a securities investment consultant for a period of two years

make trading orders on his or her behalf, the investor must issue a written power of attorney and should examine the trading confirmation documents regularly. _____________________________ * Clause 23

Disri refused to comply, which reflected their unwillingness to settle the case with the SEC at this stage. The SEC, therefore, sent a written request to the public prosecutor to file a lawsuit against

? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s

persons are required to submit written explanation to the SEC within 7 business days while the appropriateness of Vijit Supinit involvement will later be considered.

}, 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

that should have been recorded on audio tape were reported on a written trading order form instead. Evidence of trading order execution is critical and very useful, especially in case of disputes among

(Unit : THB million) 2015 2016 9 months of 2017 Gross written premium 101.26 163.34 128.44 Net written premium 91.21 156.86 81.01 Total revenues 121.22 126.80 110.11 Underwriting and Operating expenses