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{G}. The SEC found from the routine inspection that {A} frequently failed to record her clients' derivatives trading orders while {B}, {C}, {D}, and {E} frequently failed to record their clients
} frequently failed to record his clients' securities trading orders as the same as {B} case as reported by his employer Phara Securities Plc. Both persons admitted that they took those orders via mobile phone
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หลักทรัพย์ https://capital.sec.or.th/webapp/nrs/nrs_main_search.php nrs_table_of_contents_en.php Practices Frequently Asked Questions (FAQ) CG Thailand Laws/Regulations Search Public Hearing Digital
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
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