company shall keep such record into recording tape or electronics recording appliance. Clause 19/1. In dealing with retail client, a securities company shall arrange to have documents or evidence showing

” 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

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

its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due

pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of

Contacts to enhance their skills and knowledge. In amending the rules for the renewal of approval, the Office adds more categories of skill enhancing activities to include in-house training courses which

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

assets 9. Property, plant and equipment 10. Intangible assets 11. Other assets Total assets Liabilities and shareholders’ equity (Unit:Baht) Consolidated The Company only ( 20..) ( 20..) (20..) (20

หยุดชะงัก อาจส่งผลกระทบต่อลูกค้า การดำเนินงาน ธุรกิจ ชื่อเสียง ฐานะ และผลการดำเนินงานของผู้ประกอบธุรกิจ อย่างมีนัยสำคัญ “การใช้งานอุปกรณ์เคลื่อนที่ (mobile device)” หมายถึง การปฏิบัติงานที่มีการใช้

server device network device etc. in the computer centre or prohibited zone and identifying right for computer centre. [M] · In case of unauthorised person may have a necessary to in the computer centre