highly volatile, the securities clearing house may require margin more than once a day; (3) appropriate review of the validation of the model and parameter to keep them up-to-date at least once a year; (4
investigative expenses. Regarding auditor oversight, the SEC will keep the record of the misconduct of Warot, Jeeranan and Jeeraporn for 10 years for future consideration if the three offenders apply for approval
across several areas, including fraud and scams. We are making sure we educate our community on how to identify and report this type of harmful content through consumer education campaigns to keep people
in Thai or English, and either in the form of documented information or electronic information. Clause 7. Derivatives broker shall keep the evidence relating to derivatives trading under the following
. In addition, the audit committee should keep abreast of news and information of the company, be observant and skeptical to raise suspicious issues that may cause a risk and seek clarifications from the
client. Clause 13. A securities company shall keep accurate and up-to-date record of the client’s asset account. In case of amendment of the record, the securities company shall complete the amendment
securities company shall keep accurate and up-to-date record of the client’s asset account. In case of amendment of the record, the securities company shall complete the amendment within the same working day
execution. Clause 8. Securities company shall provide evidence and document about securities trade completely and up date, and keep it for at least five years as from the trading date, of which evidence and
document about securities trade completely and up date, and keep it for at least five years as from the trading date, of which evidence and document of the latest two years must be available for the Office’s
Office the ceasing of business operation or the ceasing of transaction execution. Clause 8.9 Securities company shall provide evidence and document about securities trade completely and up date, and keep