they incompletely recorded client's securities or derivatives trading orders due to their receipt of such orders via mobile phone. The SEC therefore publicly diclosed their inappropriate behavior and

}, 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

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

customer base. - Loans In the fiscal year ended February 28, 2018, loans shared 36% of total turnovers (shared 23% from personal loan and 13% from purposed loan for mobile phone, IT products, electrical

existing business partners to increase customer base. - Loans In the fiscal year 2016, loans shared 40% of total turnovers (shared 22% from personal loan and 18% from purposed loan for mobile phone, IT

turnovers (shared 22% from personal loan and 8% from purposed loan for mobile phone, IT products, electrical appliances and etc. at over department stores and more than 4,800 dealers nationwide). Revenues

the operating results of each business line and the direction of future earnings explain as follows: 1. Mobile phone and accessories distribution business Mobile phone and accessories distribution

contact him via mobile phone instead. Due to such behaviors, the employer suspended Nattavut for one month, starting from July 2 to 31, 2007. The SEC imposed the same sanction, taking effect simultaneously

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

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