) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht. The misconduct above led to the consideration that {A} failed to perform his duties responsibly with professional due care when he acc...
failed to record their clients' derivatives trading orders frequently. {D} admitted that the unrecorded orders were taken via mobile phone and WhatsApp, while {E} admitted that he had accepted his client's
status checking, stop cheque, and account status checking. 3.3 LH Bank PromptPay Service is a new service to transfer funds for decrease cash transactions by linking the citizen ID card or mobile phone
Analysis for the Second Quarter ended 30 June 2017 Page 7/23 3.3 LH Bank PromptPay Service is a new service to transfer funds for decrease cash transactions by linking the citizen ID card or mobile phone
link their national ID or mobile phone number to Land and Houses Bank Public Company Limited’s accounts. By doing so, transferors do not need the transferees’ bank account details to transfer money. 3.4
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
to consultation papers and more convenient participation in the hearing process. The website is accessible via multiple devices such as desktop, tablet and mobile phone, to fit the users
}, 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