& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk

safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows:           (1) DA operators would be required to keep records related to the

without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions

Property as a Tool for Accessing Funding Sources, initiated by the Department of Intellectual Property. The signing ceremony was presided over by Mr. Pichai Naripthaphan, Minister of Commerce, and

asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from

details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from client’s assets; □ (3.6) System to

that meet additional criteria. The draft revision aims to streamline the PO application procedures for the offeror who has no records of inappropriate corporate governance practices and whose shares are

accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts

The Securities and Exchange Commission (SEC), represented by Ms. Areewan Aimdilokwong, Assistant Secretary-General, extended the SEC congratulations to the Ministry of Commerce (MOC) on its 104th

Revocation (section 104) |- Accounting and Records (section 105) |- Audited Financial Statements & Auditor Approval (section 106) |- Public Disclosure (section 108) |- Reporting & Notification Requirements