}, a securities investment consultant of the same company, did not record their clients? securities trading orders. The three persons admitted that they took large amount of orders via mobile phone in

number of shares reserved for conversion of all debentures offered, assumption on estimation of the conversion price, if set as a formula calculable on future price of shares, opinion of board of directors

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

million or 177% when compared with the same quarter of last year. This was resulting from an exclusive mobile phone project, a new project in the third quarter of 2018, recorded sales in this quarter of

the businesses in subsidiaries and associated the Company investing had improved operating results when compared to the same period last year. The business of mobile phone distribution business

effective from 1 February 2020.  Having joined the SEC since 1994, Assistant Secretary-General Saovanee Suwannarong holds bachelor’s and master’s degrees in business administration, Assumption University

misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the

} frequently failed to record his clients' securities trading orders as the same as {B} case as reported by his employer Phara Securities Plc. Both persons admitted that they took those orders via mobile phone

order form (Form F8) despite the fact that those trading orders were made via mobile phone. Use of Form F8 therefore was inappropriate submission of trading orders because such Form must be used in

had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person