that he notified his clients of trading orders at night and failed to keep records of all clients' trading orders. Conversations between {A} and the clients found on the records also indicated the
and experiences among experts to keep up with development of accounting principles having effect on financial information disclosure. Vorapol Socatiyanurak, SEC Secretary-General said that the seminar
Economic Community (AEC), Thai capital market must be prompt for rapid change coming with wider business opportunity, economic growth and fierce competition. The SEC will keep close eyes on the development
maintain such evidence complete and up-to-date for at least five years from the transaction date and the maintenance of such evidence during the first two years shall be in such a manner that can be promptly
securities trading and maintain such evidence complete and up-to-date for at least five years from the transaction date and the maintenance of such evidence during the first two years shall be in such a manner
should take into account knowledge necessary for the personnel to keep up with the continually changes of technology. 10. Resource allocation such as office appliances, computers, and software, etc. which
abilities required to perform the assigned tasks including the evaluation of such knowledge and skills. The development should take into account knowledge necessary for the personnel to keep up with the
Hydrocracking Unit’s gas Compressor, which led to a temporary halt of the unit to assess and maintain the mentioned equipment in March. Currently, the unit has returned to normal working conditions. However its
, as well as adequate measures to keep information of members and their clients confidential. Clause 18 To protect public interest and investors’ rights, a derivatives exchange shall disclose information