be viewed on www.start-to-invest.com and mobile application ?start-to-invest?.
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
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
mobile phone.The acts of {C} were in violation of Clause 20(2) and (3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
} 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
Facebook fan page and mobile application users are welcome to receive souvenirs at the booth. The SEC is confident that everyone can achieve the life goals, if learning how to make investment and savings
6229 8733Email: eugenia_lee @mas.gov.sgSEC ThailandMs Sasithorn Ongdee Mobile: +66 89 200 1673Email: Press@sec.or.th
financial statements only.) Summary overview In the 1st quarter of 2020, the Company organized “ Thailand Mobile EXPO 2020” 35th , on February, 7- 10 2020. Although the event is in start phase of the epidemic