. Clause 10 This Notification is inapplicable to an appointment of person to hold the positions under Clause 5, Clause 6 or Clause 7 in any of the following cases: (1) the appointment by an intermediary

of conduct, CRAs should keep in mind that the laws and regulations of the jurisdictions in which they operate vary and take precedence over the IOSCO CRA Code. These laws and regulations may include

specify as such in the register book and shall provide particulars as prescribed in sub clause (1) of the first paragraph. Clause 17 An asset trustee shall keep the registered book at its headquarter and

purported to keep client’s assets servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of

: แบบคำขอลงทะเบียน https://www.sec.or.th/TH/Pages/OnlineSubmissionFilings/CA.aspx English (United States) GatekeeperFAQ .   Q: Pursuant to Section 89/15 and Section 89/17, is it allowed to keep important

allowed to keep important documents in the electronic system only to save paper and storage space? Otherwise, are both the originals and copies https://www.sec.or.th/cgthailand/EN/Pages/FAQ

5644pe.doc 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 to customers and

Limited Between June 21, 2022 to December 31, 2022, Satang Corporation Company Limited ("Satang"), a digital asset exchange, did not keep customers' digital http://market.sec.or.th/public/idisc/en/Enforce

(United States) GatekeeperFAQ .   Q: Pursuant to Section 89/15 and Section 89/17, is it allowed to keep important documents in the electronic system only to save paper and storage space? Otherwise, are both

.   Q: Pursuant to Section 89/15 and Section 89/17, is it allowed to keep important documents in the electronic system only to save paper and storage space? Otherwise, are both the originals and copies