tasks including undertaking of any other actions assigned by the administrative panel or the SEC, as the case may be. Division 1 Administrative Proceedings Clause 8. Administrative proceedings shall
other law from such acceptance of selling orders or closing out of positions. Chapter 3 Engagement in Agreements with Clients prior to Providing Services ________________________ Division 1 General
an approval [for establishment] from the Securities and Exchange Commission. 2 The law on financial institution business means the Financial Institution Business Act B.E. 2531 (2007). 4 Division 1
1212 The details of the particulars under Clause 11 shall comply with the following rules: (1) an offer for sale of securitized bonds in any case shall be according to the Forms specified in Division 1
Identification Number SEC HELP Center 1207 info@sec.or.th Last Updated 31 March 2022 Last Reviewed 31 March 2022
beencompleted, except for data or evidence concerning customer identification which shall be kept for not less than five years from the date relationship with the customer has ended. Clause 5. An internal control
transactions of customers have beencompleted, except for data or evidence concerning customer identification which shall be kept for not less than five years from the date relationship with the customer has
years from the date the particulars or transactions of customers have beencompleted, except for data or evidence concerning customer identification which shall be kept for not less than five years from
ซื้อขายสัญญาซื้อขายล่วงหน้า 7.1 ระบบจัดเก็บข้อมูลที่สามารถระบุความมีตัวตนที่แท้จริง (unique identification) ของลูกค้าและผู้รับประโยชน์จากการซื้อขายสัญญาของลูกค้า 7.2 ระบบประมวลฐานะสัญญาซื้อขายล่วงหน้าของ
Change (Please specify all information on change of first name / last name since becoming sui juris and attach documents indicating such change) 1.2 Type of Card [ ] Identification Card [ ] Passport (only