? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
Transitional Provisions ______________________ Clause 14. The person who has obtained permission or approval for being advisor under the Notification No. OrNor. 2/2545 or securities investment analyst under the
& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
. This cooperation framework opens up new business opportunities for Thai AMCs by allowing them to expand 2 “SEC Thailand is a recipient of Digital Government Awards 2020 and Honorable Mention of the 9th
broadening cross-border investment channels and product choices for investors in both markets. This cooperation framework opens up new business opportunities for Thai AMCs by allowing them to expand investor
clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the
asking for permission (if any) 4.1 The company must have the approval of the shareholders to issue the new shares and offer the shares to the current shareholders with votes no less than ¾ of all the votes
Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3