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
& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate
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
measurable climate action plan in alignment with Thailand's goal of achieving Net Zero Emissions by 2065. In this training session, Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and Ms
business as a mechanism for achieving Thailand's strategic goals. This includes enhancing the economic competitiveness of investment management businesses, fostering business growth based on a sustainable
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
, structure, and provide useful advice for achieving business objectives. When achieving the objectives, PE will sell out the shares to any particular group of investors or via the Stock Exchange of Thailand
early increase chances of achieving happy retirement.The SEC Working Papers Forum has been hosted under the Memorandum of Understanding between the SEC and four leading business schools, aiming to apply