guidelines for the custody of the client’s assets in accordance with the provisions of this notification. Such rules and guidelines must be made in writing, elaborating procedural steps of authorized person
-English translation- CS 7/2018 23 November 2018 Subject: Disposition of investment in White Group Public Company Limited To: President The Stock Exchange of Thailand With reference to the Board of
recommending the case to the public attorney who has authority for prosecution. The power to adjudicate whether any person is guilty or not is, however, vested on the court of justice. In this regard, the SEC
when in fact GGC received only partial or no delivery of the raw materials. Nevertheless, it was recorded in the company’s accounting system that the raw materials were fully delivered. In addition
meeting in person and submit questions to the company prior to the meeting date. _________________________
account owner's knowledge to prevent potential damage. Recently, the SEC has punished offenders who caused damage to investors in several cases. In any event that an investor truly wishes to have a person
cease. He is therefore no longer allowed to perform duties as capital market personnel. In any case, filing a criminal complaint with the DSI commences criminal justice administration whereby any person
filed a criminal complaint with the ECD Police in this matter for further proceedings. At this regard, any person suffering damage from investment with such company or persons should contact the ECD
regulations: Clause 1. In this Notification: “derivatives broker” means a juristic person licensed to undertake derivatives business in the category of derivatives broker. Clause 2. The Notification of the