. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities
that involves transfer of subscription money to personal bank accounts of investment consultants because such arrangement could be used as a channel for committing dishonest acts and it might lead to a
operated in compliance with the specified process. Regarding the original documents, there is no regulation under the Electronic Transactions Act allowing electronic documents to be used as sole evidence in
suspicion that such amount of money belongs to the client; (2) Securities: (a) segregating by depositing with a securities depository center or the Bank of Thailand by clearly indicate that such securities
of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without suspicion that such amount of money belongs to the client; (2
example, the issuer have never been rejected any PO submissions due to suspicion in severe inappropriate behavior in the past five years.The revised rules aim to prevent non-listed companies with severe
its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records
and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records of assets of each client