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
: ............................................(authorized person) for and on behalf of ................................... Contact person: .................................................... Phone: ......................... E-mail
, THUNGMAHAMEK SATHORN, BANGKOK 10120 PHONE : +66 (0) 2625 1188 FAX : +66 (0) 2625 1103 www.jubileediamond.co.th No. CS10/2019 August 13rd, 2019 Subject: Interim Dividend Payment 2019 Attn: Director and Manager
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
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
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
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
and reviewed regularly to guard against rising risk trends in line with market volatility, as well as appropriate for changes in regulatory requirements, business undertakings including domestic and
management. Risk management policies, tools and processes have been developed and are reviewed regularly to guard against rising risk trends in line with market volatility, changes in regulatory requirements