of clients ; (2) operating in a manner that does not cause any obstacle to compliance with the governing laws or related regulations of the authority or affect the supervisory efficiency of the
; (2) operating in a manner that does not cause any obstacle to compliance with the governing laws or related regulations of the authority or affect the supervisory efficiency of the intermediary or the
burden to investors, which could develop into an obstacle for accessing investment services and products in the capital market. SEC therefore is proposing the regulations on the use of a single form for
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
, derivatives fund manager, investor contact and derivatives investor contact shall receive an approval from the SEC Office and whereas the flood catastrophe may cause obstacle and inconvenience to such persons
information via generally accessible channels of business operators or preparation and storage of information in a manner ready for retrieval upon the SEC’s request, and (3) cancellation of reports that are no
the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The use of a client’s assets, fiat money and
opened 1 large branch which is Phetkasem branch using automated storage and retrieval system (ASRS) for more efficient in warehouse management and the company opened 5 Dohome To Go branches which are Makro