/2551 Re: Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as

Capital Market Supervisory Board No. TorThor. 7/2551 Re: Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices _____________ By virtue of Section 18

trading decisions on behalf of the clients, regardless of the client's permission or authorization. In this regard, {A}'s action was deemed as obtaining authorization from clients to make securities trading

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

, which was due on 17 April 2018. EARTH is now required to clarify and publicly disclose the information within 60 days after the bankruptcy court grants a permission for the plan preparer to assess the

In addition, there will be three director-level switches, namely:  1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management

orders of derivatives and shares in large volumes without the client’s authorization. When the client’s account suffered a large amount of loss, {A} tricked the client into depositing more cash into the

their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his

capital market investment consultant for 3 months, effective from June 16, 2015.The investment consultant is unable to make any trading decisions on behalf of the client even with the client's permission

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