, further contributing to the economic relations between the two markets. This aligns with the objectives of the Memorandum of Understanding for Strengthening Economic Relations between the Kingdom of
Thailand and Hong Kong 1. The Securities and Futures Commission (SFC) and the Securities and Exchange Commission of Thailand (SEC) signed a Memorandum of Understanding concerning Mutual Recognition of
}, 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
: ...................................................... (…………………………………………….) 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
the boards? understanding of their roles and responsibilities related to the CG Code and its practical relevance to the companies? business context, in the listed companies? disclosure.The revised Form
procedures for integrating our collaboration further and consider bilateral or multilateral memorandums of understanding with our allies.” _____________________________
, particularly new-gen groups, for digital asset and fund raising businesses operation such as issuance of digital tokens or ICOs.As such, “SEC finds it necessary to enhance knowledge and understanding