legally; and (2) DA fund managers are required to keep documentation of their activities related to digital asset fund management, including documentation regarding consideration and decision making on
accurate, complete, and up-to-date documentation by DA operators, including the safekeeping of client assets and the transactions of investment management. The proposed amendments would provide the SEC
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
; ในการซื้อขายและการส่งมอบ/รับมอบสินค้า (physical delivery) ของสัญญาซื้อขายล่วงหน้า
difference of gold prices in the financial statements for Q3/2010 and record the estimated damages arising from breach of agreement on gold delivery in the financial statements in the year 2010.? THL ?s
Audit Firm’s record - Normal
Applicant’s personal record and audit firm’s record – fast track
Delivery of Notifications and Clarification Notes