. Chapter 1 Rules on Settlor ____________ Clause 5 A settlor shall be a private or public limited company which has been granted an approval by the SEC Office to be a REIT manager, or in the process of
customer’s complaint relating to the giving of advice or placing of orders whose proceeding has not been completed within such period, the record of such advice or order shall be kept until the handling of
, should there be any customer’s complaint relating to the giving of advice or placing of orders whose proceeding has not been completed within such period, the record of such advice or order shall be kept
facilitate the following matters in Thailand: 5 (a) proceeding the same action as prescribed in Clause 5(4); (b) verifying the details of constitutive document [for ensuring that the scheme has been conformed
Form for registration/change of information/termination of SEC Account is part of the proceeding under the SEC Office’s Standard Procedures for Electronic Transmission of Information B.E. 2564 (2021
proceeding under the SEC Office’s Standard Procedures for Electronic Transmission of Information B.E. 2564 (2021). The SEC Office has the duty to collect, use or disclose personal data on the legal basis of
relationship risk which is not more than medium level or which is in the acceptable level, unless having obtained exemption from the SEC Office; (5) having not been accused of or subjected to criminal proceeding
accused of or subjected to criminal proceeding, whether under Thai or foreign laws, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully