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
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
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
amounting to Baht 50.5 million mainly due to losses from exclusive mobile phone project. Revenue from Thailand Mobile Expo for the year 2018 is Baht 119 million, the highest revenue since the Company was
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failed to record their clients' derivatives trading orders frequently. {D} admitted that the unrecorded orders were taken via mobile phone and WhatsApp, while {E} admitted that he had accepted his client's
Exchange Commission (SEC Office) In this Application, we Full name (in Thai) Full name (in English) Passport No. E-mail Address Mobile phone As a user of SEC Account with the duty related to submission of
its revenue from providing mobile phone service during the subscribers protection period starting from its entering into the interim subscribers protection measure pursuant to the NBTC’s Notification on
' securities trading orders. All of them admitted that the unrecorded orders were taken via mobile phone. The SEC therefore suspended them from duty as approved investment consultant for one month. For {F} and