SEC Secretary-General Ruenvadee Suwanmongkol said that SEC and the related agencies had discussed the COVID-19 situation and acknowledged limitations on the AGM holding of listed companies. The meeting concluded with primary suggestions as follows: (1) proxy voting: shareholders are advised to consider proxy voting through independent directors instead of in-person voting at the meeting. If the meeting’s notice has not been sent, listed companies are requested to inform s...
to bringing prosperity and growth to Thai capital market and Kunming City in the future,? said Mr. Vorapol. Possible areas for collaboration were discussed including use of the Thai capital market as
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
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
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
Case of Possible Impact on the Holding of Juristic Person’s Meeting B.E. 2563 (2020), dated 4 March 2020,
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