Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives
orders from her clients and has already been cautioned two times by SCB Securities Co., Ltd. and the SEC.An investment consultant must keep tape evidence of all investment advice and a client's securities
STRATEGIC UPDATES ADVERTISING PAYMENT LOGISTICS Transit & Office Outdoor Airport Activation Offline & Online Payment Market Place Micro Loan Smart Delivery 1) ADVERTISING - BUILDING AN INTERNATIONAL NETWORK
response the strategy for “CONVENIENT ECONOMY” the Company has expanded the customer base to both online and offline market for customers convenient. Additionally, the company has extended the products such
purported to keep client’s assets servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of
: แบบคำขอลงทะเบียน https://www.sec.or.th/TH/Pages/OnlineSubmissionFilings/CA.aspx English (United States) GatekeeperFAQ . Q: Pursuant to Section 89/15 and Section 89/17, is it allowed to keep important
allowed to keep important documents in the electronic system only to save paper and storage space? Otherwise, are both the originals and copies https://www.sec.or.th/cgthailand/EN/Pages/FAQ
5644pe.doc 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
Limited Between June 21, 2022 to December 31, 2022, Satang Corporation Company Limited ("Satang"), a digital asset exchange, did not keep customers' digital http://market.sec.or.th/public/idisc/en/Enforce
(United States) GatekeeperFAQ . Q: Pursuant to Section 89/15 and Section 89/17, is it allowed to keep important documents in the electronic system only to save paper and storage space? Otherwise, are both