(Thailand) Plc. Earlier, the SEC found in a routine inspection of Maybank Kim Eng Securities (Thailand) Plc., that {A} had been authorized by his clients to make securities trading decisions on the clients
decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept
decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
Sanction 1. Miss Thitiyaporn Sumatar Making decisions to buy or sell securities for clients Notification No. SorThor
) 07/11/2022 17:27 Notification of Asset Acquisition of the Company 18/05/2022 12:31 Notification of the resolutions of the Board of Directors Meeting No. 3/2022 regarding the disposal of investment in a
transaction 13/07/2021 17:47 Resolutions of the Board of Directors' Meeting regarding the enter into connected transaction Remark: Data will be displayed within 3 years. Last updated on 19 January 2023
Delivery of informed voting decisions Institutional investors should make informed and independent voting decisions at investee companies, applying due care, intelligence and judgement. 2.5 Participation in
shareholder meeting in key company decisions. The chapter also deals with disclosure of control structures, such as different voting rights. New issues in this chapter include the use of information technology
trading decisions on the client?s behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, causing losses in the client?s account of
} for his inappropriate acts. The {A} case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives trading decisions on the client's behalf with internet