13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which
from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with
company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place
, because in transaction records in accordance with TFRS16. This caused a decrease in Q3’20 compared to Q2’19 even though the rental space was not lower. - Farm business saw is income increase both in the
in transaction records in accordance with TFRS16. This caused a decrease in Q2’20 compared to Q2’19 even though the rental space was not lower. - Farm business saw is income decrease both in the three
evidence relating to derivatives trading under the following rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date
rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date on which the advice is given or order is placed, as the
, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records. The nine offenders are: (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director
creditworthiness of the type of entity or obligation being rated. 1.9 A CRA should maintain internal records that are accurate and sufficiently detailed and comprehensive to reconstruct the credit rating process for
except where such position does not cause any conflicts of interest with management of funds. Clause 5. The management company shall submit to the Office the following documents relating to its fund