matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
shall prepare in writing (electronic transaction like e-mail) with an approval by the authorised person such as chief of Section requested, chief of computer division requested etc.. [M] · Providing an
investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in
including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic
execution or preservation of confidentiality (2) A management company should carry out transactions bearing in mind it is a representative of the client whereby making investment or issuance of trading order
การรักษาความลับของลูกค้า การจัดเก็บและการควบคุม เอกสารที่เกี่ยวกับการเป็นที่ปรึกษาการลงทุน (preservation of confidentiality) ( (จ) หลักปฏิบัติในการซื้อขายหลักทรัพย์ของบริษัท ผู้ให้คำแนะนำ และบุคคล ผู้มี
Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting
documents and evidences in accordance with the format and procedures provided by the Office of the Securities and Exchange Commission in the electronic operational system of the Office of the Securities and
licensed derivatives business operator in the category of derivatives brokerage; “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ business
established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data” means statements that are created, sent, received, stored or processed through