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
sufficient securities, in case the securities company or its client has not yet received ETF units or underlying shares of ETF from purchasing order. Clause 8 A securities company shall keep the information
the category of securities brokerage shall keep documents relating to the giving of advice including analysis report or any other documents supporting the giving of advice for at least two years from
of such client, the securities company shall record the name of the third party who is the owner of the assets in the client’s asset account as well. Clause 13 A securities company shall keep accurate
notification can keep the client’s assets into its custody. Such custody of assets must be only for institutional investors or non-provident fund clients with the securities and assets of more than one million
company managing that fund. The management company shall keep such documents for at least ten years from the date of registration of the dissolution of the mutual fund. Clause 14. All notifications of the
, specifically, in the case where credit rating assessed by other credit rating agencies is changed. Derivatives broker shall make and keep explanation of reasons supporting the selection of credit rating for
. Clause 19 A securities company shall keep records of the giving of advice and negotiation on securities investment with a client for at least one month from the date on which the giving of advice or
person. Clause 12. The derivatives broker shall provide documentation evidencing derivatives trading and ensure that complete documentation is maintained and updated, and shall keep reports or articles on