. 2535 (1992) and the Derivatives Act B.E. 2546 (2003) do not keep pace with these rapidly changing environments which may unintentionally limit the area that business operators can make use of

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, trading instruction or

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

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

, 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

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

Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital