? pre-determined investment scope.The proposed rules have taken into consideration the public?s and stakeholders? comments and suggestions collected from the hearing on the guiding principles in last
. (4) establishing an efficient system for recording, collecting and processing data and a data backup system as an alternative in cases where retrieval for use of such data cannot be done; (5
maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities
the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities company shall notify its
intermediary by having control between each other; (3) a company and an intermediary are under control of the same person. “ control ” means control as determined by the definition of “control” under Section 89
intermediary by having control between each other; (3) a company and an intermediary are under control of the same person. “control” means control as determined by the definition of “control” under Section 89/1
check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The
ready for retrieval upon the SEC’s request, and (3) cancellation of reports that are no longer necessary. Under the current regulations, only 33 reports can be submitted via electronic means. After the
's profit. 12/05/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of 333,333.33 Baht