Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in
level of care and diligence expected of a professional in safeguarding the interests of the bondholders. SEC Act S.46 Settlement Committee Meeting No. 10/2025 Settlement Committee Order No. 143/2025
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
the transactions. Failure to record the client's securities trading orders and obtaining authorization to make securities trading decisions on behalf of the client are, respectively, in violation of
November 28, 2018 at no. 48/48 TISCO Tower, Level 20, North Sathorn Road, Silom, Bangrak, Bangkok, the Company would like to report the key resolutions of the meeting of Board of Directors as follows: The
, procurement, and general administration. The company also gives clear scope of authorities and approval hierarchy of each management level to prevent fraudulence. For example, the company establishes: chart of
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