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

for shares and transfer 720,000 baht into Apple Wealth's bank account for such purpose. Sakkarin, however, informed the company that such money belonged to another client and changed the name and phone

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."  

securities companies on account of failing to submit evidence of securities trading orders in the form of recorded tapes of phone conversations with their clients. Pursuant to the SEC Notification

Company Profile - E FOR L AIM PUBLIC COMPANY LIMITED สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 14 January 2025 20:08 Company Profile E FOR L AIM PUBLIC COMPANY LIMITED Please

Company Profile - PEER FOR YOU PUBLIC COMPANY LIMITED สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 14 January 2025 20:11 Company Profile PEER FOR YOU PUBLIC COMPANY LIMITED Please

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

Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders

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

Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of