Wannapat signed the names of clients and the authorized checker on fund trading order forms without the actual signatures of either party, and used the checker’s password, without authorization, to approve

& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate

sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC

by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case

manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions

Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3

Chairman Chanin Vongkusolkit and TLCA members, to discuss strategies for the development and promotion of supervision over listed companies. The discussions covered measures to prevent adverse behaviors

SEC and publicly disclose the rectified financial statement which has been audited by auditor. The order has been issued after the SEC found that auditor gave adverse opinion on the financial statement

and adverse conclusion along with 2012 financial statements due to limitation on scope of audit imposed by its management.  PRO is required to file with the SEC and publicly disclose the rectified and

securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior