obtaining the clients? instructions. They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the
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
) Mr. ASA SARASAS Spouse / Cohabiting Couple (Miss Oannapark Sarasas) Common Share 05/04/2021 12,100 2.80 Purchase Link G CAPITAL PUBLIC COMPANY LIMITED (GCAP) Mr. ASA SARASAS Spouse / Cohabiting Couple
Common Share 29/11/2021 100,000 2.84 Sale Link WATTANAPAT HOSPITAL TRANG PUBLIC COMPANY LIMITED (WPH) Mr. CHANE LAOSONTHORN Spouse / Cohabiting Couple (MRS.Annie Laosonthorn) Common Share 17/01/2022 56,000
LIMITED (MJD) Mr. CHUMROEN POOLVORALAKS Spouse / Cohabiting Couple (Mrs.somwieng Poolvoralaks) Common Share 22/10/2020 20,000,000 1.50 Sale Link MAJOR DEVELOPMENT PUBLIC COMPANY LIMITED (MJD) Mr. CHUMROEN
HEMMONDHAROP Reporter Warrant 27/07/2021 5,443,571 - Transfer Link PANJAWATTANA PLASTIC PUBLIC COMPANY LIMITED (PJW) Mr. SEKSAN SINBANLUEKUL Spouse / Cohabiting Couple (สินบันลือกุล) Common Share 22/04/2021 100