indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries. The acts of {A} and {B
Bangkok, October 1, 2012 - The SEC imposed administrative sanctions on seven investment consultants/analysts by revoking approval of {A}, suspending {B} of Bualuang Securities PLC, {C} of Kasikorn
, regardless of the client's permission. In this regard, the aforesaid {B}'s actions are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval
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
case the application is submitted by an authorized person and the evidentiary documentation is incorrect or incomplete, the authorized person must show a written authorization from the applicant to sign
2: Consideration and approval of the authorization for the bondholders' representative to enter into a settlement agreement with the company in court, according to the terms approved by the
? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s
suspended the approval for {A} as an investment consultant for complex instruments type 1** for nine months and 22 days, effective from 22 April 2020. Investors are strongly advised to be cautious and
}, the capital market investment consultant received trading orders from the person who was not owner of securities trading account without any written authorization letter. From the recorded conversation
. 16/2551 Re: Granting of Approval for Undertaking Derivatives Business in the Category of Derivatives Broker Limited to Gold Derivatives _____________ By virtue of Section 9 and the third paragraph of