, 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
such action until the complaint handling is completed. In the case where the giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the
retain such record until all the procedures are completed. In the case where the advise, trading instruction or negotiation is made by telephone or via electronic means, the securities company shall keep
calculation as specified in Clause 3. (2) “electronic data” means statements that are created, sent, received, stored or processed through electronic procedures. (3) “securities company reporting system” means
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
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for
in Thai or English, and either in the form of documented information or electronic information. Clause 7. Derivatives broker shall keep the evidence relating to derivatives trading under the following
the use of prepared electronic devices which such devices are connected to computer or electronic systems of the head office; “Office” means the Office of the Securities and Exchange Commission. Clause
as put in a sealed envelop. · The user who receiving the default password or receiving a new password should change the password instantly. · The user should keep the password secret. In case of
. Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete, can be able to