SEC probed into the case and found that her client had authorized her to sell securities in the client account during the client's overseas trip, if getting profit, while the client would make the

to apply information from their observation trip to their studies under such program. The lecture was held on 3 March 2023, at the SEC Building.

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

investment unit selling.The SEC led Thai private sector on a business trip to Japan in February to meet Japanese executives from both public and private sectors, aiming to strengthen collaboration with FSA

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

2018 Trip Mil.Baht Income pertrip Trip Mil.Baht Income pertrip - Donsak - Samui Island 3,263 102.30 31,352 3,201 98.67 30,825 - Donsak - Phangan Island 1,137 54.28 47,741 1,118 52.41 46,878 - Samui

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

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