, the incomes and expenses of the fund shall be recorded according to the employees’ interest segregated by each employer, provided that the following incomes and expenses of the fund shall be calculated
which keeps records of securities purchasing or selling transactions other than those recorded in a margin account ; (4) “ securities depository center ” means a securities depository center under the law
date on which the information was recorded in the system. In this regard, during the first two years it shall be kept in a manner that is able to be retrieved promptly and inspected by the SEC. Clause 5
under the first paragraph. (2) securities; the amount of securities segregated for each day shall not be less than the aggregate amount of securities recorded as the client’s assets at the end of such
records of such activities in the form of recorded tape or electronic data storage. Clause 20 In trading securities with a retail client , a securities company shall prepare evidentiary documentation to
Internet trade clients, as defined in the table attached hereto. It should be required to monitor and analyze, based on the risk assessment of the organization, logs recorded from the use of critical
in Securities Business. 1.2 Order collecting process. 1.3 Rectification and amendment of orders recorded in error, for instance timeframe, procedures and the person so assigned. 1.4 Verification of
and factsheet; (3) record any recommendation in form of document or an audio file. In this regard, the intermediary shall request the clients to examine the content of recommendation recorded on
systems and user identification of internet trade clients. It should also be required to monitor and analyze such recorded evidence. Provisions in the Notification No. Sor Thor. 37/2559 Clause 23 An
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...