future such as keeping information in what type, it shall keep device and software related to read that type of media. [M] · Labelling clearly at the preserved information media for rapidly search and
Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e
” means: (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e., computers, equipment, data recorders, and other equipment; (3
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
company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place
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
หยุดชะงัก อาจส่งผลกระทบต่อลูกค้า การดำเนินงาน ธุรกิจ ชื่อเสียง ฐานะ และผลการดำเนินงานของผู้ประกอบธุรกิจ อย่างมีนัยสำคัญ “การใช้งานอุปกรณ์เคลื่อนที่ (mobile device)” หมายถึง การปฏิบัติงานที่มีการใช้
regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means providing incentive gifts, rights or other benefits to a client
products or [iii] selling capital market products by using regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the