& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate

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

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

through KAL’s ordinary shares. It was initially treated as a business combination. However, the group of entities under KAL was established with the purpose for merging with another business (Special

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

unitholders attending the meetings or sending the vote letter if it is a resolution on general matters such as changing the fund type from a closed-end fund to an open-end fund or merging funds to reduce

contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client

Streamlined Authorization Framework for Cross-Border Public Offerings of ASEAN Collective Investment Schemes; (b) In the case of investment units of a fund which focuses on investment involving foreign risks

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