contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client

HONDA ENGINEERING ASIAN CO เลขท่ี WICE 002/2561 วนัท่ี 4 มกราคม 2561 เร่ือง ขอแจง้การเขา้ท ารายการและช าระเงินค่าหุน้สามญั Universal Worldwide Transportation ( “UWT”) เรียน กรรมการผูจ้ดัการ ตลาดหล

consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients

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

March 31, 2018 and March 31, 2017, the Company and its subsidiaries had a net profit of Baht 56.52 million or 17.17%. Universal Worldwide Transportation Limited holds 80% of the total number of ordinary

? 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