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
honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and
use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the
. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the arbitral process under the Derivatives
Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the arbitral process under the Derivatives Act B.E. 2546
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
at HomePro, Mega Home and HomePro in Malaysia. Moreover, the Company organized various marketing activities throughout the period with the aim of stimulating consumer spending. Activities included the
. Clause 19 A securities company shall keep records of the giving of advice and negotiation on securities investment with a client for at least one month from the date on which the giving of advice or