computer centre officer monitor the compliance all the time. [M] o Providing record system for entering the computer centre and such record shall compose of personal detail, time of entering and there should
to the work unit responsible for post-trade operation within a reasonable period of time in order for the securities company to acknowledge and be able to report the result of securities trading in
operation within a reasonable period of time in order for the securities company to acknowledge and be able to report the result of securities trading in accordance with the relevant rules and for the work
securities dealing to submit a report of securities dealing to work unit responsible for post-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to
submit a report of securities dealing to work unit responsible for post-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to report the result
-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to report the result 5 Amended by Notification of the Securities and Exchange Commission No
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
Pacific jurisdictions, namely Cambodia, New Zealand, Malaysia, the Philippines, Laos, Singapore, Australia, Indonesia, South Africa, Hong Kong and Thailand. This is the 2nd time the SEC has the honor to
, accepting of trading orders, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data