authorization. According to the conversation recorded, {B} had sent trading orders before notifying her client or sent out selling orders against of the client's instruction. {B} admitted that she had acted as

with them. Some even gave authorization for the companies? staff to submit trading orders on their behalf.The said actions were deemed as undertaking derivatives business without license in contravention

authorization from his client and made SBL trading decisions for the client when there was profit or risk with the client's account. He then informed his client via telephone with regard to the profit and loss on

and ethic as well as deny any clients? authorization to trade securities or derivatives on their behalves."

member jurisdiction to offer CIS constituted and authorised in that jurisdiction ("ASEAN CIS") to retail investors in other member jurisdictions under a streamlined authorization process. The signatories

independent financial advisor and the Board of Directors of the Company resolved to approve the authorization of the Executive Committee of the Company to consider nominating the independent financial advisors

plan; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the

continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3

the followings task at least once each year: (1) Testing and reviewing of the business continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation

followings task at least once each year: (1) Testing and reviewing of the business continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by