' trading orders via their mobile phones. In case of {C}, the SEC found that she did not record clients' trading orders completely, the SEC thus publicly disclosed her non-compliant performance and recorded
Exchange Commission (SEC Office) In this Application, we Full name (in Thai) Full name (in English) Passport No. E-mail Address Mobile phone As a user of SEC Account with the duty related to submission of
clients' securities trading orders. She then admitted that the clients' trading orders had been received via mobile phone and via blackberry messenger. In this regard, the aforesaid actions are in violation
client's child, as well as sometimes taking orders via mobile phone.{A}'s actions were deemed as obtaining authorization from client to make securities trading decisions on behalf of client; taking
admitted that he had been authorized by his clients to enter securities trading orders on the clients' behalf and then inform such client via mobile phone after the trades were executed. {A} also admitted
its revenue from providing mobile phone service during the subscribers protection period starting from its entering into the interim subscribers protection measure pursuant to the NBTC’s Notification on
person in charge of mutual funds? investment and might learn of the funds? investment information as well as those having duty to send trading orders. The business operator must seek the SEC approval for
submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A