identified the Office shall have the power to prescribe rules, conditions, and procedures in details pertaining to related subject as prescribe in this Notification in order to promote clarity in practice and
Chapter 8; (8) handling of complaints, as detailed in Chapter 9; (9) retention of information and documents, as detailed in Chapter 10; Part 4 The SEC Office’s Power Clause 5 In order for this Notification
Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to
anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this Notification, the anti-money laundering legislations
Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the
, or such person is not suitable to be the service provider, the SEC Office shall [i] notify the intermediary to amend, act or omit to act in any way in order to comply with this Notification, or [ii
) dated 1 August 2017 (Effective on 1 September 2017). 10 in order to comply with this Notification, or [ii] suspend the outsourcing to the service provider. Chapter 3 Transitional Provisions
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market
Businesses . In order to adhere to the principles, the intermediary shall comply with this Notification. In this regard, where the rules, under this Notification or under other Notifications of Capital Market