) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
5644pe.doc documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and
) bills; (4) shares; (5) debentures; (6) investment units which are instruments or evidence representing the rights to the property of a https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate
-amended.pdf freshfield collected or processed pursuant to an authorization of such person or any place where documents, evidence or property of the special purpose juristic person are stored, during the hours
category of private fund management; (7) “Specified property fund” means any mutual fund which https://publish.sec.or.th/nrs/4685pe.doc Section 4 instruments or evidence representing the rights to the