such complaint is completed; In cases where the giving of advice or placing of orders under Paragraph 1 has been made via telephone or by electronic mean, a record of audio tape or electronic recording
until the handling of such complaint is completed; In cases where the giving of advice or placing of orders under Paragraph 1 has been made via telephone or by electronic mean, a record of audio tape or
not result in an increase in consumption to the same extent. Store expansion in the second quarter was in line with plan. The company opened two new stores: one HomePro S store at BigC Bangna in May
proposed amendments, an IPO issuer would prepare and disclose the necessary information in the visual and audio formats to better respond to investors? growing habit of accessing news and information from
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
audio recording systems for such purpose and strictly comply with relevant regulations. Those failing to record or provide the complete record of their securities trading orders, especially those under
. Audio and/or video recordings, as the case may be, of an entire meeting shall be permitted, including the recording of computer traffic data generated by such recordings. A notice for a unitholders
that should have been recorded on audio tape were reported on a written trading order form instead. Evidence of trading order execution is critical and very useful, especially in case of disputes among
โดยใน DB2019 ประเทศไทยได้คะแนนในหัวข้อนี้ 6/10 และได้คะแนน 5/6 ใน DB2020 Best regulatory performance: India Kazakhstan and Malta 2.2 Extent of ownership and control (การเป็น https://www.sec.or.th/TH