CDP Capacity Building Workshop 0222 - GHG Emissions Accounting Capital Markets Workshop GHG Emissions and Financed Emissions 2 June 2022 Stephanie Zega South Pole 2 Introducing your workshop host

Sanction Miss Sirin Trakoolwong Buying or selling securities beyond clients? orders without authorization causing damages to such clients

securities of his client without authorization. His misconduct caused his client more than one million baht in damage. The interference with the client?s assets contravened the Standards of Conduct under

& 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

decisions for a client without authorization, sending trading orders from a client?s account to inflate securities prices and the credit line of another client who held the same securities, and intentionally

to trade securities in the client?s account on the client?s behalf without having to give prior notice. Despite the client?s cancellation of such authorization afterward, Pracha continued trading

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