policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to
of December 2020. In any case, to be eligible for the waiver or the rate cut of annual fee, the securities issuers must not have a record of criminal fining or criminal complaint for failure to
} frequently failed to record his clients' securities trading orders as the same as {B} case as reported by his employer Phara Securities Plc. Both persons admitted that they took those orders via mobile phone
record the allowance for doubtful accounts on the advance payment to Mrs. Churairat E.Bonython, SCAN chairman of the board of directors and executive board, in which the auditors of both companies opined
} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading
had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person
from SCB Securities Co., Ltd. that {A} frequently failed to record her clients' securities trading orders. She then admitted that when orders had been executed completely from many of her clients, she
investment consultant of Asia Plus Securities Plc. Following the report of Capital Nomura Securities Plc., the SEC probed into {A} case and found that he failed to record the client's securities trading
the offer for sale of fund units; (4) the registration of a pool of assets as a fund; (5) the preparation of unitholder register; (6) the prevention of conflicts of interest between the management