years from the date of issue, in a way that such documents are prompt to be called or inspected by the SEC Office without delay. For the purpose of (4) in the first paragraph, the term “cyber security
with the client is terminated. Such documents and information shall be stored in the manner that enables prompt access for review by the Office when requested. Notified this 1st day of March 2007
, for at least 5 years from the date the account is closed /the business relationship with the client is terminated. Such documents and information shall be stored in the manner that enables prompt access
shall be stored in the manner that enables prompt access for review by the Office when requested. Notified this 1st day of March 2007. Thirachai Phuvanatnaranubala (Mr. Thirachai Phuvanatnaranubala
considered shall include: (1) involvement and significance of behaviors such as the amount of money involved, the volume of transactions involved, the person obtaining benefits, being the principal, instigator
its custody of clients’ assets for at least five years. Such information and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office
and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities
temporary closure of hotels under management agreements depends on the decision of the hotel owners. • Postponed the new hotel opening and prepared team for prompt opening in accordance with the COVID-19
SEC Office shall take into consideration the following factors: (1) involvement role and behaviors of the person under consideration; (2) sanction already imposed on such person; (3) impact on or damage