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
Securities and Exchange Act B.E. 2535 (1992), the Securities https://publish.sec.or.th/nrs/2544pe.doc Translation retain such record until all the procedures are completed. In the case where the advise
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
operations and exposures in commodities • Impairment issues • Heightened cost controls at audit clients • Governance challenges (cannot get or retain strong directors) Layoffs Reduced capacity Audit fee
, as well as adequate measures to keep information of members and their clients confidential. Clause 18 To protect public interest and investors’ rights, a derivatives exchange shall disclose information
on review of rules and regulations to maintain only necessary ones and ensure effective enforcement, can help SEC build a body of standard regulations in line with the changing environment without
the CPD records? 9 Does the firm maintain the list of persons who didn’t comply with the mandatory and firm’s CPD targets and its plan for correcting the situation? 10 Whether CPD/training is covered in
bid to promote and maintain the readiness of important systems of derivatives clearing houses so that they can operate continuously; (5) disclosure of information in a clear, transparent, and adequate
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
and selling investment products through different channels. • Check and keep transaction records to confirm they are accurate and genuine. • Use a licensed/regulated financial service provider