instructions from the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining
such permission.In performing their duty, an investment consultant can send trading orders only when obtaining orders from the clients. Even with the client?s permission; they cannot make decisions on
trading orders only when obtaining orders from the clients. Even with the client's permission; they cannot make decisions on behalf of the client. In this regard, {A} and {B}'s actions were in violation of
arising from or related to its use. ------------------------------- Notification of the Capital Market Supervisory Board No. TorThor. 8/2551 Re: Rules, Conditions, and Procedures for Applying for Permission
Capital Market Supervisory Board No. TorThor. 8/2551 Re: Rules, Conditions, and Procedures for Applying for Permission and Granting of Permission to Securities Companies to Establish Branch Offices
Bangkok Zones where are under potential consideration and feasibility study to operate the branches by HHC own self or by third person permitted by HHC without any permission from WCIG SET shall be further
bonds to be offered must clearly state that the issuer is in the process of extending the payment period or is currently in default; (2) An issuer seeking permission to issue and offer debt securities
misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed
consultant for 3 months, effective from June 26, 2015. The investment consultant cannot make trading decision on client's behalf regardless of the client's permission. If the client submits trading orders via