applicant. In 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

Re: Application Form for Permission for Offer for Sale of Newly Issued Debt Securities and Reporting (No.2)

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

, including accepting an authorization from investors to trade or make investment decisions on their behalf are deemed to be misfeasance against the SEC?s Rules of Conduct. The SEC has repeatedly emphasized

(2003), any person undertaking derivatives business without obtaining proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of the Act

. According to the Derivatives Act B.E. 2546 (2003), any person undertaking derivatives business without obtaining proper authorization from the SEC is in violation of Section 16 of the Act. In addition, the

retail players. Besides, from investigating into their bank accounts, information on opening brokers? accounts coupled with authorization of trading execution, no connection between those players was found

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

person undertaking derivatives business without obtaining proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of  the Act. The SEC

18, 2008.In the case of Nattawut: Following Adkinson Securities Plc.?s report on a client?s complaint that Nattawut had made trading decisions on behalf of the client without authorization causing loss