สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดกิจกรรรมเชื่อมความสัมพันธ์ “One Spirit One Team One Win” กับผู้บริหารและเจ้าหน้าที่จากกองคดีการเงินการธนาคารและการฟอกเงิน กรมสอบสวนคดี
, Noon Team also expanded its horizon with new aspects for business extension, received knowledge from experienced mentors, consulted with related supervisory agencies in terms of regulations, and
investor protection in this regard, the SEC has set up a special investor support team to ensure assistance and advice on withdrawal, receipt of returned assets or transfer of digital assets. The 24-hour
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 number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the
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
order form (Form F8) despite the fact that those trading orders were made via mobile phone. Use of Form F8 therefore was inappropriate submission of trading orders because such Form must be used in
misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the
submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A
accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's