scripless debt securities as collateral of signatories, such as utility service users or project contractors. The scripless form is a highly-safety method, preventing counterfeit and helps lower the record
other individuals through clients? accounts and non-compliance with conducts of securities company in relation to record keeping of investment advice and trading orders in violation of Clause 14(2) and 14
trading orders through email, investor contact should confirm such orders by taping phone conversation to ensure that the client has actually ordered to trade securities for record keeping."
countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good
shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as
contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as follows: (a) for the
operation in foreign countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel
ระบบงานที่เกี่ยวข้องซึ่งผู้ประกอบธุรกิจต้องให้ ความส าคัญ ได้แก่ 1. IT Risk Management 2. Record Keeping โดยข้อก าหนดและตัวอย่างวิธีการต่าง ๆ มีรายละเอียดตามเอกสารแนบ II. เหตุผลความจ าเป็นและวัตถุประสงค์