to customers and derivatives trading orders placed by customers shall be kept for at least three months from the date on which the advice is given or the order is placed, as the case may be. However
matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept
matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept
and provide data for systemic risk management. The data must be kept for at least five years from the transaction date; 2. A derivatives broker may become a debtor by judgment or a
check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The
Thailand on irregular trading in SLC shares during March 31 - April 29, 2010, the SEC probed into the case and found records kept by the suspects regarding the details of the group trading in SLC shares
client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own
prices. Meanwhile, the group of offenders, including Nipa and Namthip, who were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s
data that must be kept confidential in order to be used for approval of transfers or transactions related to digital assets in digital wallets. Documents SHARE : Related News SEC launches Digital Asset
interim dividend to our shareholders at the rate of Baht 0.07 per share, totaling Baht 40,185,596.15. The dividend will be paid from the retained earnings of Panjawattana Plastic Public Company Limited and