) 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

Bangkok, October 27, 2015 - The SEC urges shareholders of Superblock Public Company Limited (SUPER) to thoroughly study the solar cell power plant investment project before casting votes at the

discussing with her client to fine-tune the deficit portfolio. At the end of the trading day, she notified her client via mobile telephone after working hours.Making securities trading decisions on behalf of

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

, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from

and transfer securities in the clients? accounts into those of other clients who were related to herself to seek personal gains.In addition, Pornthip filled in different confirmation phone numbers on

client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent

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important information and supporting evidence to SEC Complaint Center. This includes the followings; 1. Personal information of the complainant, e.g., full name, mailing address and phone number; 2. Power of