& 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
, regardless of the fact that he sold the entire purchased amount already.Following the SEC?s instruction for Bee to provide clarification with prompt rectification on the tender offer price for EIC?s shares as
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
activities with another foreign digital asset trading platform and allowing payment for the transactions made in Thai baht through Prompt Pay and Thai QR. Such provision of services may be deemed the
provide clarification on this matter with prompt rectification. For the benefits of EIC shareholders, he is also notified to disclose such rectification to EIC for further dissemination through the SET
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