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
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
, accepting of trading orders, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data
, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data recording device. Clause
) 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