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
by 66% from Q4/2019 and 77% from 2020, mainly from the reduction in total revenue from sales in a greater proportion than the reduction in selling and administrative expenses, despite the cost control
experience, for example, education, employment record/ affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
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