company shall keep such record into recording tape or electronics recording appliance. Clause 19/1. In dealing with retail client, a securities company shall arrange to have documents or evidence showing
16/1.16 17 A securities company shall get to know its client, by arrange to have documents which can identify its client or the authorized officer of client in case of juristic person. 16 Amended by
its client, by arrange to have documents which can identify its client or the authorized officer of client in case of juristic person. 16 Amended by Notification of the Securities and Exchange
Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and
system for recording information and hierarchical information report to the executive; (i) procedure and method for controlling and monitoring the performance under the prescribed policy, measure and
) appropriate and reliable system for recording information and hierarchical information report to the executive; (i) procedure and method for controlling and monitoring the performance under the prescribed
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