& 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
the company’s readjusting of employee accrued benefits and base salary to serve the company’s strategy towards fully digitalized format as well as to encourage all employee preparing for Digital
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
Digitalized capital market (Digitalization), in which digitalization and technologies will be applied and promoted. Strategic Direction 4 Capital market for sustainability (Sustainability), in which long-term
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
incorporated in the 4th Capital Market Development Plan (2022-2027), under the “Digitalized Capital Market” strategic direction. The SEC is determined to push forward further development of DIF Web Portal to
consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions