.Kitti Kunrak (one-year probation): With reference to a securities company?s report on a client?s complaint that Kitti had decided to sell securities on the client?s behalf without authorization causing

Sonthaya had made trading decisions on behalf of her client without authorization. Her conducts were deemed interference with client assets in contravention of Clause 11 (2) of the Notification of the Office

related to the BSI?s board of director members or major shareholders. This resulted in BSI?s authorization and management control over its three subsidiaries? assets and benefits, which having significant

, reaching an agreement, signing documents and agreement, and other authorities that is required to carry out the increase in capital 3. Sign in documents to ask for permission and evidence that is required

results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person

client’s permission or consent in writing. Clause 7. Derivatives broker may deposit customer’s cash with commercial bank or other bank established under the specific law, or invest in promissory notes issued

securities or instrument issuer within appropriate time. Derivatives broker shall not declare its intention to employ the client’s right and benefits without client’s permission or consent in writing. Clause 7

. 72/2558 (2015) Re: Permission for Listed Companies to Offer Newly Issued Shares to Specific Persons (“Notification of Capital Market Supervisory Board No. TorChor. 72/2558”), calculated from the

the Capital Market Supervisory Board No. TorChor. 72/2558 (2015) Re: Permission for Listed Companies to Offer Newly Issued Shares to Specific Persons (“Notification of Capital Market Supervisory Board

the Capital Market Supervisory Board No. TorChor. 72/2558 (2015) Re: Permission for Listed Companies to Offer Newly Issued Shares to Specific Persons (“Notification of Capital Market Supervisory Board