such action until the complaint handling is completed. In the case where the giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the
giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the records of such activities in the form of recorded tape or electronic data
, accepting of trading orders, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data
, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data recording device. Clause
requirements set by the Stock Exchange. 8 Clause 16 In addition to the action set forth in Clause 15, in cases where an investment unit price of an open-end fund is incorrect and the difference between the
Public Hearing System :: สำนักงานคณะกรรมกำกับหลักทรัพย์และตลาดหลักทรัพย์ แบบสำรวจความคิดเห็น Hearing Home การกำหนดให้การให้บริการระบบอิเล็กทรอนิกส์เพื่อการซื้อขายหลักทรัพย์ (Electronic Trading
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