mutual fund without authorization from the client. She did not clarify the details of the new fund and failed to assess the client's risk tolerance before giving investment advice, causing inappropriate
., Ltd. in 99,997 shares which is 99.997% of the capital at 10.00 Baht per share (par value) in total value of 999,970.00 Baht. 2. There is an approval with authorization to board of executive directors to
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
who is appointed to be director or manager and the derivatives business operator by its authorized director, or in case of authorization by the derivatives business operator, the certified signatory
authorization. Under the ARFP framework, efforts are made to unify the mutual entry processes for funds that are managed in accordance with the ARFP rules agreed upon among the relevant regulators of the
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
through the loan transaction of 60 million baht to VBB on 1 October 2013 for construction of advertising billboards. However, since such transaction size exceeded the 50-million-baht authorization limit of
, starting from December 22, 2015. On other cases, {B} was found accepting orders to trade securities in a client's account from a person who was not the owner of the account without any written authorization