} 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
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
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
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
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
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
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