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
infrastructure asset is made in a greenfield project, the total value of investment in the greenfield project shall not be more than 30 percent of the trust’s asset value; (b) the authorization process shall be in
precedent have been fully satisfied, which are (1) GPSC has obtained approval from its shareholders meeting to enter into the Share Purchase Transaction; and (2) GPSC has obtained the relevant approval from
business operators are able to provide services with these five elements, people should be satisfied with long-term financial planning for healthy financial status.”SEC Secretary-General, Rapee
that they comply with the legal duties and responsibilities. 13 (3) implementing a supervision to conform the content and authorization of the transactions between the company and the trust manager or
}, 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