and ethic as well as deny any clients? authorization to trade securities or derivatives on their behalves."

account to the client every time after the trade date. {B}, however, agreed to make reparations to the client.In performing their duties, investment consultants can send trading orders only when obtaining

his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with

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

investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being

accounts regularly to prevent other persons from using the accounts to trade securities without the investors’ authorization. Besides, transaction conformation documents must always be monitored to make sure

other persons from using their accounts to trade securities without their knowledge, and make sure that the documents of transaction confirmation are issued by the securities companies in charge. In

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

ปรับปรุงการทำแบบรายงาน cross trade และรายละเอียดการคำนวณขนาดรายการ

แบบรายงานธุรกรรม cross trade ตามข้อ 17 ของประกาศ COI