is made. The storage of such document or evidence shall be made in the manner which is immediately available upon the Office’s request for a review or an inspection. Clause 4 This Notification shall
understand the feature, risks and specific conditions of such capital market products every time before making a decision to invest. After having performed in compliance with the first paragraph, the
acceptance of the service or risks arising from the service, which is in form of document or other verifiable storage. Clause 28 An intermediary shall arrange the appropriate channel and monitoring system for
.................... · · Removable Storage โปรดระบุจำนวนบุคลากรที่ใช้อุปกรณ์ดังกล่าว.................... · · Others (โปรดระบุ) โปรดระบุจำนวนบุคลากรที่ใช้อุปกรณ์ดังกล่าว.................... จำนวนบุคลากรที่ใช้อุปกรณ์เคลื่อนที่ที่ จัดหา
information via the public network, it shall receive an international standard encryption such as SSL,VPN etc. [M] · Providing a measure on controlling the correct of information that storage, input, operate
storage. Clause 28 An intermediary shall arrange the appropriate channel and monitoring system for communication with a client . In addition, the intermediary shall communicate at the right time, with clear
record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its customers, confirmation statement, evidence of
an efficient and ready work system for providing services as securities registrar will be put in place, considering the preparation, data processing and storage, and reporting of service provision; (4
regard, the detailed feature of the certificate thereof shall be described in the report. Clause 6 In case of necessity where an offeror would not be able to submit the report as prescribed in this
records of such activities in the form of recorded tape or electronic data storage. Clause 20 In trading securities with a retail client , a securities company shall prepare evidentiary documentation to