SEC plans to issue additional requirements relating to the structure of the Board of Directors and Management of IPO companies and listed companies to the current regulations on the check and balance system (for example, independent directors and audit committee members) that will enhance the image and create confidence for the Thai capital markets. In addition, this approach is in line with the principles of corporate governance (CG), which has been adopted since 2002 by most IPO companies...
and transfer securities in the clients? accounts into those of other clients who were related to herself to seek personal gains.In addition, Pornthip filled in different confirmation phone numbers on
mutual fund without authorization from the client. She did not clarify the details of the new fund and failed to assess the client's risk tolerance before giving investment advice, causing inappropriate
& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate
person who is appointed to be director or manager and the securities company by its authorized director, or in case of authorization by the securities company, the certified signatory shall at least be the
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
who is appointed to be director or manager and the derivatives business operator by its authorized director, or in case of authorization by the derivatives business operator, the certified signatory
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