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
(KM 26) Rd., Bangbor, Bangbor Samut Prakarn 10560 Telephone 0-2313-4848 Fax 0-2313-4849, 4787 Establish Date 06/10/2000 Listed Date 12/11/2020 IPO Price (Baht) 1.92 @Par0.50 Baht IPO Financial Advisory
, including, mobile phone numbers, email addresses, addresses on the identification cards, addresses on the house registration, permanent address, home telephone numbers, and facsimile numbers. Sensitive data
: ............................................................. Province: .................................... Zip code: ........................... E-mail: .............................................................. Telephone
: ............................................(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