customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities

authorization that {A} had obtained  to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants  can send trading orders only when obtaining instructions from

explanation to the SEC accordingly.       In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities

obtaining the clients? instructions.  They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission.  In this regard, the aforesaid {A}'s actions

endorsing checks payable to the securities company offering the services or transferring payments directly to the securities company?s banking account or following the instructions specified on the

responsible for the operation of the reporting entity?s orders or action, failure to give instructions or perform their duty, such person may also liable to the penalty under the said Acts.SEC Secretary-General

trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain

company later corrected its financial statements according to the SEC?s instructions. Based on the above finding, the SEC considered that Kesree had been negligent in performing her duty as an auditor

such trading.In performing their duties, investment consultants can send trading orders only when obtaining instructions directly from the client.  They cannot make decisions on behalf of clients

59 Instructions for filling out Form 59 คำอธิบายในการกรอกแบบฟอร์ม 59 จัดทำขึ้นเพื่อให้ผู้มีหน้าที่รายงานมีความเข้าใจวิธีการกรอกข้อมูลการเปลี่ยนแปลงการถือหลักทรัพย์และสัญญาซื้อขายล่วงหน้า อย่างไรก็ดี