to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time. Despite no intention to conceal information in the
monitoring the business operations and for a proper investment making-decision in a reasonable period of time. In addition, SEC has issued a guideline on information disclosure for listed companies
manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions
personnel for a period of five years, starting from 4 August 2020.In case of deciding to buy an investment product at a place which is not the service provider’s office, investors are advised to avoid
application result; (4) Extending the time period for commencing the operation of the business from 180 days to 270 days from the date of obtaining the license. Under the proposed rule, the licensee could
submitted the client?s securities trading orders via the internet from the IP address of Krungsri Securities for a certain period of time. Wasana admitted and explained that her client was not keen on
Krungsri Securities for a certain period of time. {C} admitted and explained that her client was not keen on investment and asked her to take care of the trading account.{D} failed to perform her duty in
submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A
time of committing the offense); (2) Mr. Chinnavat Chinsangaram (a director of ADAM at the time of committing the offense); (3) Mr. Sarawut Phumthavorn (an independent director and member of the Audit
23_MDA Q3_2563 EN -Translation- No. ECF2 038/2020 16 November 2020 Subject: Management Discussion and Analysis of the 3rd quarter and 9-month period ended 30 September 2020 To President The Stock