information via generally accessible channels of business operators or preparation and storage of information in a manner ready for retrieval upon the SEC’s request, and (3) cancellation of reports that are no
the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The use of a client’s assets, fiat money and
opened 1 large branch which is Phetkasem branch using automated storage and retrieval system (ASRS) for more efficient in warehouse management and the company opened 5 Dohome To Go branches which are Makro
. (4) establishing an efficient system for recording, collecting and processing data and a data backup system as an alternative in cases where retrieval for use of such data cannot be done; (5
retrieval, prohibition of access to staffs' accounts and passwords by other persons, prohibition of social network sign-up or contact via SEC email addresses without prior approval of the SEC Office, etc
การก ากับดูแลของแนวทางท่ีเสนอ หมายเหตุ : ชื่อต่าง ๆ ที่น าเสนอเป็นนามสมมติที่สร้างขึ้นประกอบตัวอย่างการอธิบายเพื่อความเข้าใจ ในเอกสารรับฟังความคิดเห็น ตัวอย่างท่ี 1 บลจ. ABC น า platform ที่ใช้ algorithm
maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities
the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities company shall notify its
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory