appropriateness of the scenario, parameter and assumption used in the stress test on a quarterly basis or upon significant change to the market condition and conduct a full validation of such model at least once a

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

involvement in the skytrain contract that they have allegedly operate railway systems or obtaining concession without the Interior Minister?s authorization. Then on January 16, 2013, the DSI set to summon some

his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with

records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send

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

? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s

, 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