recommended to deal with the said insufficiency;   (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard

, they still need to develop further in the five following areas including 1) Anti-corruption 2) Whistleblowing 3) Effective implementation of business ethics 4) Review and monitor corporate strategy

liable to sanctions. On the other hand, investors should trade securities themselves or, if need be, assign authorization according to securities company regulations and monitor their own portfolios

monitor the aggregate limit, since tokens can be transferred globally and directly among mailto:aunchisa@sec.or.th mailto:archari@sec.or.th aunchisa Underline aunchisa Line aunchisa Typewriter January 22

เอกสารรับฟังความคิดเห็น เลขที่ อกต. 5/2560 เรื่อง การก าหนดให้การให้บริการระบบอิเล็กทรอนิกส์เพื่อการซื้อขาย หลักทรัพย ์(Electronic Trading Platform - ETP) เป็นธุรกิจหลักทรัพย์ และแนวทางการเข้าร่วม

such action until the complaint handling is completed. In the case where the giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the

giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the records of such activities in the form of recorded tape or electronic data

Clause 16 (1) in compliance with the following rules: (1) disclose the information on the execution of such transaction to the SEC Office in the form and procedure specified in the Electronic Information

, accepting of trading orders, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data

, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data recording device. Clause