digital asset investment activities.   Additionally, DA operators are required to retain the accurate, complete and updated records mentioned above for at least five years from the date of such operations

digital asset investment activities. In this regard, DA operators would be required to retain the accurate, complete and updated records mentioned above for at least five years from the date of such

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

Audit Firm’s record - Normal

Applicant’s personal record and audit firm’s record – fast track

supervisor. Clause 3 The commitment shall contain at least a particular describing the material information as follows: (1) name of the mutual fund scheme; (2) details of the mutual fund scheme containing the

at least. [M] · Providing consistently an inspection of operational recording of user . [A] · Providing a preventing measure for alteration of other record and limitation of right for only concerned

login-logout logs, login attempts, command line and firewall log etc. for the purpose of inspection and it shall keep such record for three months at least. [M] o Providing consistently an inspection of

systems and application software, as well as take and test program source code at least once a year; (4) completely and sufficiently store and record logs for inspection of conflicts of interest in the