authorities to keep pace with innovations and address emerging complex challenges. This MoU also underlines SEC Thailand’s focus on strengthening relationships with leading regulatory authorities, including
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
procurement process. In 2018, the Company delivered the large-scale projects with a value of more than 100 million baht such as a project of mobile signal and high-speed internet in a border area, a project of
development of products to meet with customers’ expectations. However, under the current situation, and without a clear signal from the Government with regards to the easing of the restriction period, the
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