securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior

Unofficial translation FORM 35-E2 Letter of Consent (Inspection of the director and executive’s qualification on the company’s request) Attention: Secretary General, the SEC Office Whereas I

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

of Derivatives Business Operators dated 3 August 2009 stipulate that the appointment or consent to have any person become or act as a director, manager or person with power of management of derivatives

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

. 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