when selecting securities brokers and should seek verification on the securities licensees of such brokers by visiting the SEC website at www.sec.or.th or inquiring the information from the SEC Help
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
for one year details of the allocation to all persons that having value of at least one million bath or over in order for the SEC?s examination. In addition, list of all patrons (classified by types
Office shall have the power to prescribe rules, conditions and procedures in detail related to the matters specified in this Notification for clarity in practice and for the SEC Office’s examination of the
related to the matters specified in this Notification for clarity in practice and for the SEC Office’s examination of the compliance therewith. Clause 23 In the case where the SEC Office finds that any
verification and examination. CHAPTER III Custody of client’s assets Clause 17. A securities company shall segregate the assets under its custody as customer’s assets not less than the followings: (1) money; the
) -5- Clause 16. A securities company shall keep the information and documents related to the custody of client’s assets at least two years for the Office’s verification and examination. CHAPTER III
for more clarity in practice and for the SEC Office’s examination of such matters. Clause 31 In cases where the SEC Office finds that a securities company violates or fails to comply with this
in detail relating to the matters prescribed in this Notification for more clarity in practice and for the SEC Office’s examination of such matters. Clause 31 In cases where the SEC Office finds that a