) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
as well as the contacted person as an evidence. The money in which the employer should deliver to the fund comprises of (a.1) saving and contribution payable to the fund (a.2) employer’s surcharge
a license under Clause 3 shall be submitted together with the following evidentiary documentation: (1)( details of the work system for preparing, procesing, storing and reporting provision of services
, compiling, processing, storing and retrieving information related to obligation repayment and cautious delivery of the underlying goods (if any); (4) a system for custody of assets of service users by
systems, network, equipments and backing up and recovery of important data, whereby it is able to recover the latest data as specified from equipments or storing locations. 8.2.5 Readiness of alternative
and damage prevention system which the securities company should provide for the computer centre. Compliance Guideline 1. Computer Centre Controlling · Storing the importance computer devices such as
บริการของผู้ประกอบธุรกิจหลักทรัพย์ และผู้ประกอบธุรกิจสัญญาซื้อขายล่วงหน้า ลงวันที่ 6 กันยายน พ.ศ. 2556 ด้วย 3.3.2 กองทุนรวมตลาดเงินในประเทศ (MMF) ที่ลูกค้าได้ลงทุนในลักษณะ dollar cost average (saving plan
inconsistent with the stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication
accounts and saving accounts, and those in fixed deposit accounts and certificates of deposit with due dates of not exceeding three months, but not includes bank deposits with an obligation. cash equivalents