September 2013 (“ Notification No. TorThor. 35/2556 ”) and the notification of the Office of Securities and Exchange Commission No. SorThor/Nor. 45/2559 Re: Rules in Detail on Regulations Concerning the
(“Notification No. TorThor. 35/2556”) and the notification of the Office of Securities and Exchange Commission No. SorThor/Nor. 45/2559 Re: Rules in Detail on Regulations Concerning the Establishment of Risk
6229 8733Email: eugenia_lee @mas.gov.sgSEC ThailandMs Sasithorn Ongdee Mobile: +66 89 200 1673Email: Press@sec.or.th
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} 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
การปฏิบัติงานโดยใช้อุปกรณ์เคลื่อนที่ (mobile device) และการใช้บริการ cloud computing เป็นต้น จึงเปิดรับฟังความคิดเห็นร่างประกาศหลักเกณฑ์เกี่ยวกับการรักษาความมั่นคงปลอดภัยระบบเทคโนโลยีสารสนเทศของผู้
orders via mobile phone.Making securities trading decisions on behalf of the client and failure to record the client's securities trading orders are, respectively, in violation of Clause 20(2) and 20(3) of
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discussing with her client to fine-tune the deficit portfolio. At the end of the trading day, she notified her client via mobile telephone after working hours.Making securities trading decisions on behalf of
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