that they are issued by the servicing securities company. In case of suspicion, investors should contact the compliance officer of the securities company without delay. In any case, investment

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doubts or inquiries, investors should contact the business operator or the “SEC Help Center” via telephone hotline 1207, SEC Facebook page or SEC Live Chat on the SEC web site

account the client preferred. In so doing, {E} did not contact nor inquire the client's demand directly even though it was possible to do so. Instead, she asked an employee who was not an approved

, and {B}, as manager, for such contravention which is liable under Section 125 of the same Act. Any persons who suffered damage from the company's illegal operation are encouraged to contact the ECD

manipulative trading caused the TRAF share price to be inconsistent with the normal market conditions. In addition, Jantharapa, then an investor contact at KTB Securities, aided and abetted manipulative trading

bank officials.  Also investors should monitor movement of mutual fund as well as deposit accounts regularly, and contact the responsible bank immediately in case of inquiry

are crucial if we want to raise the standards of audit quality in the region. This will bode well for investor confidence in ASEAN capital markets.?For media enquiries, please contact: Karen LeeSenior

trading orders via mobile phone because it was inconvenient for the client to contact via fixed line.  On {F} case, the SEC found that he had failed to record some of his client's derivatives trading orders

. Investment consultant's scope of duty is to contact and provide investors with investment advice or planning while investors are responsible to make their own investment decision. The SEC therefore urges all