ชื่อผู้ได้มา/จำหน่าย :?TRI-STAGE INC. | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 07/09/2559

ชื่อผู้ได้มา/จำหน่าย :?TRI-STAGE INC. | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 20/07/2559

usually represented themselves as agents of foreign derivatives brokers licensed by foreign regulators and thus required no authorization from the SEC.   Falling into the trap by transferring money to these

& 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

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

the recognition of  SEC Thailand on the global stage. Currently, the IOSCO Board comprises 35 member regulators from countries worldwide.

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