in the notifying letter. The SEC Office shall complete the said acts within one hundred and twenty days from the date of receiving the application together with the accurate and complete evidentiary
SEC Office is empowered to perform one or many of the following acts for the replacement of or in conjunction with such power or specifying thereof, as the case may be: (1) specifying a period or
, fraudulent or dishonest acts that results in widespread damage, either in accordance with Thai or foreign laws; (3) being currently subject to a criminal complaint or legal prosecution by a relevant agency in
into Material Transactions Deemed as Acquisition or Disposal of Assets and the Notification of The Board of Governors of The Stock Exchange of Thailand Re: Disclosure of Information and Other Acts of
company shall not undertake the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a
as a result of acts or omission to act intentionally or negligently [causing damage to the intermediary ]; (b) measures and arrangements for business continuity of service provider which shall include
intermediary as a result of acts or omission to act intentionally or negligently [causing damage to the intermediary]; (b) measures and arrangements for business continuity of service provider which shall
this Notification or code of conducts prescribed by the securities company for the implementation of this Notification or acts inappropriately as a securities broker or in securities dealing, the Office