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
a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the
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mobile phone.The acts of {C} were in violation of Clause 20(2) and (3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the
orders sent through him for several days. {A} admitted that the securities trading orders were taken via mobile phone; the misconduct of which he had previously committed. In case of {B}, the SEC found