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

. Stakeholders and interested parties from the public are welcome to submit comments through the website, through the phone number 0-2263-6332, or email to kunpatu@sec.or.th until July 21, 2013.  

Ratchadapisek Road, Huaykwang Subdistrict, Huaykwang District, Bangkok 10310 Telephone No. 66 (0) 2165 5555 press 2, then press 4 respectively Information inquiry available daily from 8.00 a.m. – 6.00 p.m. 14

JUBILEE ENTERPRISE PUBLIC COMPANY LIMITED JUBILEE ENTERPRISE PUBLIC COMPANY LIMITED 179 BANGKOK CITY TOWER 10th FLOOR, SOUTH SATHORN ROAD, THUNGMAHAMEK SATHORN, BANGKOK 10120 PHONE : +66 (0) 2625

}, 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

@sec.or.th or telephone: 092-498-4939 any day anytime, 24 hours a day. This is the new standard of SEC complaint handling procedure to ensure proper investor protection.  Investors and the public can file a

publicized through telephone, leaflets, brochures, event booths at office buildings and Facebook advertisements.Such acts may be unlawful and constitute an offence of luring and offering unauthorized

discussing with her client to fine-tune the deficit portfolio. At the end of the trading day, she notified her client via mobile telephone after working hours.Making securities trading decisions on behalf of

client of trading orders via telephone at the end of the trading day.Making securities trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market

confirmed the clients' trading orders via telephone, as she understood that these could have been evidence of the clients' trading orders. However, {A} failed to record her accepting of security trading