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
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC
against Wichai for his fraudulent acts by misappropriating company assets and converting them to himself and other persons. He committed it by falsifying documents for securities purchasing orders to
benefit.In carrying out the foregoing acts, Mrs. Walailak prepared or modified documents to present information that was inconsistent with the facts, thereby concealing the misconduct and causing clients to
this connection, related mutual fund investment documents were counterfeited to make believe that the clients’ orders had been executed. Teerasak also invited his clients to open bank savings accounts
Bangkok, February 16, 2015 ? The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against nine alleged offenders for falsifying documents and accounts and corporate
and the joint commission of, or consent to, the making of false entries in the accounting records and documents of STARK and its subsidiaries. The SEC therefore considered that the actions of Mr
the category of securities brokerage shall keep documents relating to the giving of advice including analysis report or any other documents supporting the giving of advice for at least two years from