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

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

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

PowerPoint Presentation eastspring.com.sg Stuart Wilson • June 2022 UK PACT THAILAND CAPITAL MARKETS WORKSHOP STRICTLY PRIVATE AND CONFIDENTIAL. FOR PROFESSIONAL INVESTORS ONLY. KEY TAKEAWAYS 2 1

background note and specific eligibility criteria on this area will be published in due course. 16 http://www.futurepolicy.org/fileadmin/user_upload/PACT/Laws/Spain_436_2004_english.pdf Role of fossil fuel

Knowledge and Reporting Delivered by CDP For more information, visit www.ukpact.co.uk UK PACT: Partnering for Accelerated Climate Transitions Mission and vision • Delivered by BEIS, the UK’s Department for

can reach from the computer centre such as a zone where used for keeping the report that the computer division publish for other agency and a zone where stored the tape recorder of the comment’s

for keeping the report that the computer division publish for other agency and a zone where stored the tape recorder of the comment’s marketing officer [A] 2. Damage Prevention 2.1 Fire Prevention

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