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

? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders

sustainably in harmony with the environment in every dimension. SEC Secretary-General Rapee Sucharitakul said “SEC is committed to strengthening the capital market for growth and sustainable development by

. Mr.Voraphot Chanyakomol 3. Mr. Suebwong Kaewthipharat 4. Mr. Pisit Wannavalee Authorization of directors : Any two directors from Mr. Pana Janviroj or Mr. Voraphot Chanyakomol cosigns with Mr. Suebwong

per share, totaling transaction value of Baht 1,695 million (“The Acquisition”), and the authorization of directors and/or any person authorized to have power to determine and perform any procedure

clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the

authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer

: ...................................................... (…………………………………………….) 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

}, 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