Bangkok, November 19, 2012 ? The SEC Mobile App ?start-to-invest? is now available for Android users after its debut on iPhone and iPad hit almost 50,000 downloads. Meanwhile, the SEC welcomes

1-22, 2010. She had submitted trading reports via electronic channels and mobile phone to the client who accepted the transactions. Such trading had resulted in a 73,400 baht loss for which {D} paid

business for a period of 10 years, effective from 6 May 2020. _______________________________  Note: * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the

trading orders through email, investor contact should confirm such orders by taping phone conversation to ensure that the client has actually ordered to trade securities for record keeping."  

also admitted taking such trading orders via mobile phone.  In addition, some of his clients' trading orders showed the concurrent price and time of the securities traded or canceled.  Furthermore, the

session. Besides, {A} admitted that she advised the client to sell the other securities to settle the buying order which the client agreed and asked her to submit the selling order via mobile phone

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

} 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

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

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