ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete
the redemption price to the client ; (4) examine and supervise the employee responsible for the said duties to provide true and accurate information to the client . Clause 18 In considering a
employee responsible for the said duties to provide true and accurate information to the client. Clause 18 In considering a transaction of securities dealing with a client, a securities company shall specify
records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records previously obtained. In this regard, the
ensure that the client’s records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records previously obtained
review process to ensure that the client’s records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records
other persons in a manner which is similar to or which is in competition with the operation of the management company except where the management company can show that its organizational structure does
other persons in a manner which is similar to or which is in competition with the operation of the management company except where the management company can show that its organizational structure does
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC
Filing of the Registration Statement, Registration, and Other Applications when the application and the evidentiary documentation are accurate and complete in accordance with the Licensing Manual for the