5644pe.doc documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and
Limited Between June 21, 2022 to December 31, 2022, Satang Corporation Company Limited ("Satang"), a digital asset exchange, did not keep customers' digital http://market.sec.or.th/public/idisc/en/Enforce
(United States) GatekeeperFAQ . Q: Pursuant to Section 89/15 and Section 89/17, is it allowed to keep important documents in the electronic system only to save paper and storage space? Otherwise, are both
. Q: Pursuant to Section 89/15 and Section 89/17, is it allowed to keep important documents in the electronic system only to save paper and storage space? Otherwise, are both the originals and copies
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
, investors can keep updates on information and the list of business operators participating in the "Number 5 Savings” Project," a joint initiative by the SEC and the mutual fund industry launched on
the criteria in order to keep it current. Consideration is given to the fact that the rates of fee should be equivalent, simple, and appropriate for the capital market environment , for example
and experiences among experts to keep up with development of accounting principles having effect on financial information disclosure. Vorapol Socatiyanurak, SEC Secretary-General said that the seminar