& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
records. In addition, he informed http://market.sec.or.th/public/idisc/en/Enforce < < Previous First ... 15 16 17 18 Next
%20Institutional%20Investor%20Responsibilities_2013.pdf Custodians Custodians are responsible for the safekeeping and maintaining of records of the collective investment vehicle’s assets, be these in electronic or
requirements to cover both generic user accounts and high-privileged user accounts, and requiring business operators to manage IT incidents by conducting root cause analysis, maintaining incident records, and
SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund
express and did not express opinion on such financial statements indicating that the records of allowances for possible losses on collection of short-term loan to subsidiary and trade accounts receivables
} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading
), reports on acquisition and disposal of securities (Form 246-2) and tender offer records. Currently, all of the above are ready to serve at www.cgthailand.org. ?The SEC has determined to promote
investment loss must be provided and records on giving advices to clients must be kept.