accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts
Alert list. The application is easy and swift to navigate on the phone screen. One must only type in a name, to know whether it is approved, licensed, qualified, or registered under the supervision of
the delivery of equipment or project until this situation can be controlled. Therefore, the operations and delivered projects are delayed, resulting in the decrease of revenue in Q1– 2020. In terms of
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
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
. Stakeholders and interested parties from the public are welcome to submit comments through the website, through the phone number 0-2263-6332, or email to kunpatu@sec.or.th until July 21, 2013.
JUBILEE ENTERPRISE PUBLIC COMPANY LIMITED JUBILEE ENTERPRISE PUBLIC COMPANY LIMITED 179 BANGKOK CITY TOWER 10th FLOOR, SOUTH SATHORN ROAD, THUNGMAHAMEK SATHORN, BANGKOK 10120 PHONE : +66 (0) 2625
}, 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
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