analysis which the investment advisory company deliver to a customer; (4) an advice for a customer, except in case of using a tape recorder in giving advice which shall be kept for the period of not less
submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A
) an advice for a customer, except in case of using a tape recorder in giving advice which shall be kept for the period of not less than two months from the day following the date of recording; however
trading orders via the phone with call recorder. Making securities trading decisions on behalf of client and failing to completely record client's securities trading orders were in violation of the Clauses
issuers nor ICO portals recognized by SEC at this moment. Once there exists an ICO issuer or ICO portal fully complied with the regulations, SEC will publish such information on the SEC website.In the
means, the securities company shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities https://publish.sec.or.th/nrs/65se.pdf ประกาศ
shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities https://publish.sec.or.th/nrs/65se.pdf ประกาศคณะกรรมการกำกับหลักทรัพย์และ
Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, said: “As cybersecurity attacks can take place at any moment, coming from those using loopholes in technology for the attacks, corporate executives
approved ICO issuers nor ICO portals recognized by SEC at this moment. Once there exists an ICO issuer or ICO portal fully complied with the regulations, SEC will publish such information on the SEC website
• Investors are able to infer future risk from earnings patterns and positively react to such patterns reflecting lower future risk. It supports the notion that not only the first moment but also the second