Management Name : Mr CHRISTOPHER ROBERT TAPE | Type of securities : Common share | Methods of Acquisition / Disposition : Buy | Transaction Date : 20/11/2015

orders from her clients and has already been cautioned two times by SCB Securities Co., Ltd. and the SEC.An investment consultant must keep  tape evidence of all investment advice and a client's securities

Land Lease Agreement (In the present, the Company has rented the factory area 750 square meters and office building 200 square meters 1/) for the production of adhesive and oil paint, which are the

that should have been recorded on audio tape were reported on a written trading order form instead. Evidence of trading order execution is critical and very useful, especially in case of disputes among

positions as both the CEO and Managing Director. 2. The securities company did not have in place tape recording for all telephone lines regarding securities trading advices as previously ordered by the SEC

keeping of investment advice and trading orders, as the evidence indicated that she had regularly made contact with the client through tape recording system and was able to take client's orders through such

means, the securities company shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities https://publish.sec.or.th/nrs/65se.pdf ประกาศ

shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities https://publish.sec.or.th/nrs/65se.pdf ประกาศคณะกรรมการกำกับหลักทรัพย์และ

. Surawadee?s case was a consequence of the SEC?s routine inspection on one securities firm. From randomly listening to the conversation tape records between clients and investor contacts, Surawadee was found

canceled the production of tape and weaving process following the new business model to reduce the cost the purchasing of plastic resin through banking (TR) has been canceled too results in the financial