prescribed by ACMF, for example, the research report is produced by licensed person by the home regulator and has already been promulgated in the home country, the promulgation is made upon consent of the
Mr. A did not consent to bring an end to the case at the SEC level, the SEC therefore decided to send a letter to the prosecutor to file a civil lawsuit against Mr. A and press for civil sanctions
to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time. Despite no intention to conceal information in the
specified by the Civil Sanction Committee, such offender must sign a letter of consent. After the offender has made a payment of pecuniary sanction in full, the right to institute a criminal prosecution shall
: ...................................................... (…………………………………………….) Authorized person Date: ......................................... Remarks: 1. In case of authorization for submission of documents, a power of attorney is required. 2. In case of a juristic person, the
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
}, 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
Thavaramara said: ?The SEC strongly advises against pre-authorization on blank forms or documents of any kind to prevent investment consultants from using such documents to seek unlawful personal gains. Also
not to allow investment consultants to make investment decisions for them. In case of assigning other persons to send trading orders on investors’ behalf, a written authorization is required. In any
consideration of the market status at that time in determining such discount, pursuant to the Notification No. TorChor. 72/2558. 4. The Board of Directors’ Meeting has resolved to approve the authorization to the