system. Different working teams are assigned to work remotely to mitigate operational risk and ensure that the operations and the services to the public will continue without interruption,” said Ms
manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions
securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior
according to the Service Level Agreement; 3) Rectifying the work system for supporting the Business Continuity Plan to cover the case of trading interruption in consistent with the current business
consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
? 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
operation will run, and the services to the public will continue, without interruption. SEC ascertains that investors and the public will continue to receive securities trading services and other related
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
authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer