arranging and keeping information, documents and evidentiary documentations relating to the intermediary ’s business. In this regard, such system shall serve accurately and thoroughly, including verification
; (11) having efficient information technology system; (12) having system for arranging and keeping information, documents and evidentiary documentations relating to the intermediary ’s business. In this
document which contain substances similar to a summarized substance of instrument that appears in the registration statement in the form of printed documents and CD along with the distribution of securities
clients’ assets, payment of interest shall not be deemed as a transaction causing a movement or change in clients’ assets. Clause 16 A securities company shall keep the information and documents relating to
) Clause 32(1), which relates to dissemination of educational documents regarding any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and
shall comply with the following rules: (1) shall make consideration of credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information
agreement; (7) require that the relevant provision or documents relating to the service agreement contains policy on prevention of information leakage which may occurs from the cloud provider; (8) the cloud
ผู้บริหารของบริษัทที่ออกหลักทรัพย์ (ข) ไม่อยู่ระหว่างถูกตลาดหลักทรัพย์ขึ้นเครื่องหมาย C (Caution) หรือมีคำสั่งห้ามซื้อ หรือขายหลักทรัพย์จดทะเบียนของบริษัทเป็นการชั่วคราวโดยขึ้นเครื่องหมาย SP (Trading
specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
ทรัพย์และตลาดหลักทรัพย์ C:\Documents and Settings\kornwara\My Documents\Apple\Notice\Holiday\holiday2_Notice_v3.doc