SEC Public Service Center has been receiving many inquiries and information about public solicitation for investment in shares of PB. Smart Farmer Plc. Such solicitation contains information leading the public to believe that the said company is: (1) a social enterprise thus allowed to make a public offering without the requirement to obtain approval or file a registration statement with SEC, and (2) an SME or a startup thus allowed to raise fund in both the primary and secondary markets as well...
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they incompletely recorded client's securities or derivatives trading orders due to their receipt of such orders via mobile phone. The SEC therefore publicly diclosed their inappropriate behavior and
}, 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
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
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
} 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
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