either in the form of documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given
) Clarifying the process where the Minister of Finance does not agree with the recommendation of the SEC Board regarding the application and setting out the process for informing the application result; (4
Bangkok, 14 January 2019 ? The SEC announced that the Ministry of Finance, under the recommendation of the SEC Board, had denied a digital asset business licence for Coin Asset Co., Ltd.Earlier
cooperation with TLCA and maiA, proposed recommendation to the Territorial Defense Command on curriculum development in order to prepare our next generation?s readiness for better quality working environment
seminar and distributed along with checklist to listed companies which would be useful for their 2012 MD&A preparation. The seminar documents and video, recommendation, and checklist are available for
, for example, the launch of Wealth Advice for All initiative which gives the public a more convenient access to one-stop services on investment advice and the co-launch of the Happy PVD Company project
investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being
Perform Duty of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} and {B} from performing duties of investment consultant for six months. Taking into
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain