-Customer (KYC) and Customer Due Diligence (CDD) procedures for registrants’ identity authentication, retention of data and support documents, as well as relevant risk management processes. These practices
, fill in, sign and submit the Form to the SEC Office according to the methods and procedures prescribed in the Licensing Manual for the Public; 2. In case of applying for registration of Company Account
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Office of the Securities and Exchange Commission No. SorChor. 29/2555 Re: Rules, Conditions and Procedures for the Approval of REIT Manager and Standard Conduct ___________________________________ With
manager, failed to comply with the rules, conditions, and procedures stipulated in the relevant notification. In this regard, Merkle failed to provide appropriate internal systems and processes for
procedures as specified in the notification. In this regard, Bitazza failed to provide appropriate internal systems and processes for preparing, approving, and supervising advertisements. In particular
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as