include experience, for example, education, employment record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international

record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified public accountants, prohibited

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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

มุ่งเน้นบริการการให้ค าแนะน าการลงทุนได้อย่างเหมาะสม และมปีระสิทธิภาพ 2. มีผู้ให้บริการในงานท่ีเกี่ยวข้องกับการประกอบธุรกิจเป็นทางเลือกมากข้ึน 3. ลดภาระการลงทุนด้านระบบปฏิบัติการ (barriers to entry) ส าห

depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the

deposit, withdrawal or book- entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the Office of the Securities and Exchange Commission

securities depository or the Bank of Thailand to make securities deposit, withdrawal or book- entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office