more conveniently on a regular basis using technology-based tools such as e-learning,” added Ms. Ruenvadee. _______________________
had to settle the purchase order before regular settlement period in order to avoid force selling. This action was considered that Wiroj failed to inform sufficient information by concealing important
purchase order before regular settlement period in order to avoid force selling. This action was considered that {A} failed to inform sufficient information by concealing important information that might
a regular basis. A securities company shall maintain complete evidentiary documentation related to the operation in Paragraph 1 and Paragraph 2 in a manner ready for prompt retrieval or inspection by
trading of the client shall be updated while the debt-repaying ability and the trading limit of each client shall be reviewed on a regular basis. A securities company shall maintain complete evidentiary
a regular basis. A securities company shall maintain complete documentary evidence as prescribed in Paragraph 1 and Paragraph 2 in such a manner that can be promptly retrieved and inspected by the SEC
client shall be reviewed on a regular basis. A securities company shall maintain complete documentary evidence as prescribed in Paragraph 1 and Paragraph 2 in such a manner that can be promptly retrieved
client shall be reviewed on a regular basis. A securities company shall maintain complete documentary evidence as prescribed in Paragraph 1 and Paragraph 2 in such a manner that can be promptly retrieved
repayment ability and the trading limit of each client on a regular basis. Clause 28 The derivatives broker shall maintain complete documentation with respect to the undertakings in Clause 20, Clause 21, and
information on the client, the beneficial owner and the person controlling the derivatives trading, as well as review the repayment ability and the trading limit of each client on a regular basis. Clause 28 The