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
: Nattavut Kitprasert made unauthorized trading orders for his clients and intentionally bypassing the phone communication recording system when giving advice and taking trading orders by asking his clients to
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
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
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
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
million or 177% when compared with the same quarter of last year. This was resulting from an exclusive mobile phone project, a new project in the third quarter of 2018, recorded sales in this quarter of
SATHORN, BANGKOK 10120 PHONE : +66 (0) 2625 1188 FAX : +66 (0) 2625 1103 www.jubileediamond.co.th No. CS11/2019 August 13rd, 2019 Subject: Connected Transaction Attn: Director and Manager, The Stock