trading orders via the phone with call recorder. Making securities trading decisions on behalf of client and failing to completely record client's securities trading orders were in violation of the Clauses

In May 2024, the SEC conducted a public hearing on the proposed amendments to the regulations governing the management and storage of data related to digital asset business operations with the objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most respondents agreed with the principles and the proposed amendments to such regulations. The SEC has ther...

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

Commission No. Sor Thor. 36/2561 Re: Management and Record Keeping of Data related to Undertaking of Digital Asset Businesses, dated 11 July 2018: https://publish.sec.or.th/nrs/8799s.pdf. 

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Audit Firm’s record - Normal

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

company; “ electronic information” means the information created https://publish.sec.or.th/nrs/6736se.pdf Translation securities company shall retain such record until all the procedures are completed. In

information” means the information created https://publish.sec.or.th/nrs/6736se.pdf Translation securities company shall retain such record until all the procedures are completed. In the case where the advise