prepare and keep account of customer asset for each customer separately from the account of its own, in accordance with the rules specified in the notification of the Capital Market Supervisory Board. In
significance of these problems and plans to support audit firms in providing training for auditors to gain knowledge and keep abreast of changes on a continuing basis as well as assisting audit firms in
interest as well as make inquiries to W’s management to gather complete information before voting at the extraordinary shareholders’ meeting. In any case, the aforesaid acquisition transactions have to be
and business disputes; ● Complaints barred by prescription or limited by time to gather evidence as specified by law. Matters under the SEC Responsibility Complaint Handling Procedure Samples of
hearing on this matter to gather comments and suggestions from the public and stakeholders. Most of the respondents agreed with the principles and the proposed amendments to the governing regulations. The
notifications that contain overlapping regulations with other notifications** and do not keep pace with changing situations. They are (1) the Notification of the Office of the Securities and Exchange Commission
purported to keep client’s assets servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of
: แบบคำขอลงทะเบียน https://www.sec.or.th/TH/Pages/OnlineSubmissionFilings/CA.aspx English (United States) GatekeeperFAQ . Q: Pursuant to Section 89/15 and Section 89/17, is it allowed to keep important
allowed to keep important documents in the electronic system only to save paper and storage space? Otherwise, are both the originals and copies https://www.sec.or.th/cgthailand/EN/Pages/FAQ
5644pe.doc documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and