analysis which the investment advisory company deliver to a customer; (4) an advice for a customer, except in case of using a tape recorder in giving advice which shall be kept for the period of not less
, accepting of trading orders, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data
, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data recording device. Clause
, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data recording device. Clause
) an advice for a customer, except in case of using a tape recorder in giving advice which shall be kept for the period of not less than two months from the day following the date of recording; however
company shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities company shall not trade in securities by using inside information in
is made by telephone or via electronic means, the securities company shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities
the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities company shall not trade in securities by using inside information in such a way as to
electronic channels, especially the K PLUS application which has recently developed new features, such as round-the-clock overseas funds transfer to meet the needs of customers seeking to transfer funds to
ตรวจสอบแนวทางในการเทียบเวลา (Clock synchronization) ของผู้ให้บริการ o ผู้ประกอบธรุกิจควรตรวจสอบและประเมินแนวทางการบรหิารจดัการช่องโหว่ และ การติดตั้งชุดโปรแกรมแกไ้ข (Patch) ของผู้ให้บริการ ความมั่นคง