, regardless of the client's permission. In this regard, the aforesaid {B}'s actions are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval
e-service Online Submission Securities Borrowing and Lending >> Type Title Section See document Status Notified Date Effective Date 1. Notification of Capital Market Supervisory Board 23/2556
e-service Online Submission Securities Brokerage Business >> Type Title Section See document Status Notified Date Effective Date 1. Notification of Capital Market Supervisory Board 49/2552 03
had not been sufficient. This caused the client about 3,000,000 Baht in damage. In this regard, the aforesaid actions are in violation of Clause 20(1) and (2) of the Notification of Capital Market
notify his client of some transactions.Making securities trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555
decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of
trade securities in the client's account without permission in order to achieve better performance. {A}'s actions are in violation of Clause 20(1) and 20(2) of the Notification of Capital Market
are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment
securities trading account to trade securities for others and accepting authorization to make securities trading decision on behalf of client, in violation of Clause 20(1) and (2) of the Notification of
Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18