, representing the investment amount of Baht 500,000,000. In this regard, the Company has resolved to authorize the authorization of directors to bind the Company or the Chief Executive Officer or any person
mutual fund without authorization from the client. She did not clarify the details of the new fund and failed to assess the client's risk tolerance before giving investment advice, causing inappropriate
usually represented themselves as agents of foreign derivatives brokers licensed by foreign regulators and thus required no authorization from the SEC. Falling into the trap by transferring money to these
accessed the company's system to review the trading information without any objection. The actions of {B} and {C} were deemed as obtaining authorization from client to make securities trading decisions on
entrusted to make derivatives trading decisions for the client from January to June 14, 2011. {B}, however, did so on June 15, 2011 without the client's authorization and she admitted to such unauthorized
in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes
., Ltd. in 99,997 shares which is 99.997% of the capital at 10.00 Baht per share (par value) in total value of 999,970.00 Baht. 2. There is an approval with authorization to board of executive directors to
who is appointed to be director or manager and the derivatives business operator by its authorized director, or in case of authorization by the derivatives business operator, the certified signatory