' 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
on the clients? behalf at a high trading volume and value. Later, the clients demanded her to compensate for losses incurred from trading. In addition, {A} admitted to trading in such manner by giving
associations already admitted as CAC certified members, namely Kasikorn Securities Plc., Tisco Securities Co., Ltd., Kasikorn Asset Management Co., Ltd. and Tisco Asset Management Co., Ltd. The said admission to
several days. When the client ordered to sell the securities actually sold by {A}, he instead sent the selling order for other securities of the client. {A} admitted that job stress caused him to decide to
} admitted that she had continually talked with the client about support and resistance lines of the derivatives prices and also informed the client of trading results via email. The client has never objected
clients' securities trading orders. She then admitted that the clients' trading orders had been received via mobile phone and via blackberry messenger. In this regard, the aforesaid actions are in violation
orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
}, 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
the period of three months, approximately. There was, however, no record of the client?s registration for the internet trading at the branch during such period. Atthapol admitted to Krungsri Securities
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading