regulations and consultation paper are available on the SEC website at www.sec.or.th. Stakeholders and interested parties from the public are welcome to submit comments through the website, through the phone
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
through the website, through the phone number 0-2263-6112, or email to corporat@sec.or.th until April 4, 2013.
the website, or through phone number 0-2263-6040 and 0-2695-9574 or email to subharal@sec.or.th and ariya@sec.or.th until December 20, 2012.
public are welcome to submit comments through the website, or through phone number 0-2263-6040 or email to subharal@sec.or.th until December 27, 2012. ?
} 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
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
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
operators. SEC Secretary-General sough their opinions and wished to learn of their problems and obstacles in their operation in the fast-changing environment and in support of consideration in formulating