operating results, the outcomes including the action plan (if any) related to other environmental management as the Company deems to be in accordance with the environmental policy and guidelines. In addition
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic
Notification, to [i] amend or refrain to act or [ii] act any action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6
, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of
-trade information) อย่างเพียงพอ รวดเร็ว และเหมาะสม (transparency) (4) ระบบบันทึกข้อมูลเกี่ยวกับการซื้อขายสินทรัพย์ดิจิทัล โดยเฉพาะข้อมูลที่เกี่ยวกับการทำรายการซื้อขายสินทรัพย์ดิจิทัล เพื่อติดตามและตรวจสอบ
-trade information) อย่างเพียงพอ รวดเร็ว และเหมาะสม (transparency) (4) ระบบบันทึกข้อมูลเกี่ยวกับการซื้อขายสินทรัพย์ดิจิทัล โดยเฉพาะข้อมูลที่เกี่ยวกับการทำรายการซื้อขายสินทรัพย์ดิจิทัล เพื่อติดตามและตรวจสอบ
negotiation on securities investment with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such
rules, conditions, and procedures in detail relating to the matters specified in this Notification to provide clarity on compliance and to facilitate the inspection of such compliance by the SEC Office
. Clause 25. The derivatives broker shall put in place a reliable system to verify that the person who sends orders to the derivatives broker to take any action regarding the assets in the client’s account