& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows: (1) DA operators would be required to keep records related to the
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
the category of securities brokerage shall keep documents relating to the giving of advice including analysis report or any other documents supporting the giving of advice for at least two years from
undertake securities business in the category of securities brokerage shall keep documents relating to the giving of advice including analysis report or any other documents supporting the giving of advice for
electronic data unit created on an https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-digital.docx HouseStyle . This Emergency Decree shall come into force as from the day following the date
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that meet additional criteria. The draft revision aims to streamline the PO application procedures for the offeror who has no records of inappropriate corporate governance practices and whose shares are