to consultation papers and more convenient participation in the hearing process. The website is accessible via multiple devices such as desktop, tablet and mobile phone, to fit the users

}, 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

also admitted taking such trading orders via mobile phone.  In addition, some of his clients' trading orders showed the concurrent price and time of the securities traded or canceled.  Furthermore, the

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

securities companies on account of failing to submit evidence of securities trading orders in the form of recorded tapes of phone conversations with their clients. Pursuant to the SEC Notification

_______ Country _______ Expiry date _______ Home Address _______ City State Postcode Country E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position

have launched lots of promotion campaigns to encourage customers to change their mobile phone system from prepaid to postpaid. Nevertheless, from the statistics data, over 70 million from 90 million of

Holding Company investing in retail business such as mobile phone distribution and accessories, non-performing debt management, real estate development, hire purchase (associated company), personal loan

} 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