course and evidence of attendance of the Contacts to be presented to the Office following completion of the training or seminar or upon the Office’s request. In this regard, the Office may request the
reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27
Committee. If the SEC Office still views that the applicant is unqualified, the applicant may object to the SEC Office’s decision and present more evidence to support the application if time allows; (2) This
format and procedure provided in the electronic work system of the Office. Clause 2. The license for undertaking securities business pursuant to the Ministerial Regulation Concerning Granting of https
that only the original Thai text has legal force and that this English trans submit information and documents evidence as per the form and procedures provided in the Office’s electronic work system, and
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the
(UNOFFICIAL TRANSLATION) (Updated 2015) 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the Securities and Exchange Commission