} assured his colleague that it was the client’s decision. Therefore, the transaction had been executed. However, when the authorization documents were brought to the client for signature, the client
& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate
standards and assured by SEC-approved auditor.The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties from the public are welcome to submit comments
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
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
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
collaboration, leading to the arrest and legal action against the individual. Consequently, the asset attachment under Section 267 has been extended until the court orders otherwise. The public can rest assured
always exercised its duties and authority strictly, covering both criminal proceedings and civil sanctions. The public can rest assured that the SEC exercises utmost discretion to enforce the law strictly