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

. Their misconduct also included arranging or allowing fabrication of accounting records inconsistent with the facts to deceive other persons. The 25 persons charged with the criminal complaints are as

, 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

clients. In addition, we remained cautious in credit underwriting of small and micro businesses, and focused mainly on existing customers with good track records or classified as low-risk customers. 2.2

in submitting inquiries and expressing beneficial opinions in a meeting, to the best of their abilities; senior management shall not serve as full-time employees at other organizations, and shall

inquiries, contact the SEC “Anti-Investment Scam Center” at 1207, extension 22.

application or make inquiries through the SEC Hotline to protect themselves from falling victim and suffer damage from fraudulent activities and investment scams in the capital market.  ______________________

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

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