, trading instruction or negotiation is made by telephone or via electronic means, the securities company shall keep https://publish.sec.or.th/nrs/65pe.doc ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์
, trading instruction or negotiation is made by telephone or via electronic means, the securities https://publish.sec.or.th/nrs/65pe_r.pdf is made by telephone or via electronic means, the securities company
instruction of the SEC, such kind of debt could not be legally recorded in the financial statement in accordance with the applicable accounting standards. In addition, one of the appointed legal advisor was
authorization. According to the conversation recorded, {B} had sent trading orders before notifying her client or sent out selling orders against of the client's instruction. {B} admitted that she had acted as
authorities of each level of employees related to the register of securities; (b) management and storage of the register of securities and related securities certificates; (c) examination of the internal system
significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases
Business Clause 13 Personnel in the capital market business shall be persons who [i] have ability and work experience and [ii] attend training courses or pass the examination of courses provided by the SEC
work experience and [ii] attend training courses or pass the examination of courses provided by the SEC Office or the organizations recognized by the SEC Office, as specified in the tables of
, [ii] attend training courses or pass the examination of courses provided by the SEC Office or the organizations recognized by the SEC Office and [iii] have scope of duties, as specified in the Tables of
) disclosing the balance sheet, the earnings statement and the auditor’s report for public examination at the offices of the Derivatives Exchange and the Derivatives Clearing House; (2) publishing the balance