& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate

collaborative efforts to promote and propel sustainable finance initiatives in the Thai capital market. For example, promoting state agencies, local organizations and small enterprises in raising fund through

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

- retail investors. The greater extent of offering to retail investors will not only widen investment alternatives, but also expand business opportunities for the mutual fund operators and propel integrated

redundancy reduction, as well as effective information management. This would ultimately propel target groups? knowledge and healthy financial habits.Mr. Vorapol added that ?The cooperation and resources from

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