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
orders via mobile phone.Making securities trading decisions on behalf of the client and failure to record the client's securities trading orders are, respectively, in violation of Clause 20(2) and 20(3) of
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
6229 8733Email: eugenia_lee @mas.gov.sgSEC ThailandMs Sasithorn Ongdee Mobile: +66 89 200 1673Email: Press@sec.or.th
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
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