matters specified in this Notification to ensure practical implementation and to enable the Office to examine such implementation. Clause 5. In the case where the facts appear to the Office that any
where the facts appear to the Office that any management company has acted in violation or non-compliance with the rules prescribed by this Notification, the Office shall order such management company to
to examine such implementation. Clause 5. In the case where the facts appear to the Office that any management company has acted in violation or non-compliance with the rules prescribed by this
additional facts and the SEC Office has notified the derivatives business operator before the end of such thirty days period. Clause 4. The approval for appointment of an executive of a derivatives business
documents, except in case it is necessary to examine additional facts and the SEC Office has notified the derivatives business operator before the end of such thirty days period. Clause 4. The approval for
Office needs to consider additional facts, the SEC Office shall notify the derivatives business operator in writing by stating the grounds or period of time required for such consideration, as the case may
วิธีการส่ง hard copy 29 (2) หากไม่ต้องการบันทึกทีละรายการตาม (1) สามารถเตรียมข้อมูลตามรูปแบบ excel ที่ส านักงาน ก าหนด โดยเลือก “ดาวน์โหลดไฟล์” เพ่ือจัดเตรียมข้อมูลก่อน เมื่อเตรียมข้อมูลเสร็จแล้วให้กด
In case the customer files a complaint to the SEC Office which delivers the complaint to a derivatives broker, the derivatives broker shall report the results to the Office within thirty days from the