) Microsoft Excel ( 8 ) More >> http://172.19.1.196:8983/solr/secweb/select?q= digital asset OR " digital asset " OR "electronic property " OR "electronic possession" OR " virtual https://secsearch.sec.or.th
) Microsoft Word X ( 1 ) ดูเพิ่มเติม >> http://172.19.1.196:8983/solr/secweb/select?q=electrical ownership OR "electrical ownership" OR "electric ownership" OR "electric possession" OR "electronic ownership" OR
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Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
& 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
"digital asset" OR "electronic property" OR "electronic possession" OR "virtual property" OR "virtual possession"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap&facet.field