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
Sign Company Account กรอกขอ้มลูระบบออนไลน์ พรอ้มนาย ง ลง E-Signature กจิการมอบอ านาจ เจา้หนา้ทีป่ฏบิตักิารผา่น EF-3 EF-3 Hard Copy แตง่ต ัง้ผูท้ าหนา้ทีส่ง่ขอ้มลู (ระบปุระเภทธุรกรรม) Wet-Ink S c a n & U
พนักงานผู้รับมอบอำนาจ อัพโหลดเอกสารที่ผ่านการลงนาม Wet Ink แล้วเข้าระบบ กรรมการ / ผู้มีอำนาจผูกพัน ได้ ระดับ ผอ. ขึ้นไป สร.26/2555 เมื่อเกิดเหตุ 0-2033-9530, 0-2263-6221, 0-2033-9694 kittinee@sec.or.th
}, 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
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