consultant and prohibited him from re-entering the industry as capital market personnel for 10 years. In cases where any offender fails to pay the fine within deadline set by the Criminal Fining Committee
subsidiary fails to reverse the transactions, SCAN board of directors should take responsibility for the consequences of all board approved transactions. In addition, SCAN board of directors? approval on a
to deliver gold to the foreign bank at the agreed quantity and price. Under the agreement, in case Tungkum fails to deliver gold, THL will be obliged to pay the compensation for the difference between
providing trading service. Clause 9. In case where person responsible for undertaking of foreign collective investment scheme fails to comply with agreement made with securities company under Clause 6
) shall be returned to the client . In proceeding with the actions under the first paragraph, if the SEC Office fails to contact the client or the client fails to retrieve the assets, the SEC Office shall
be returned to the client. In proceeding with the actions under the first paragraph, if the SEC Office fails to contact the client or the client fails to retrieve the assets, the SEC Office shall
of the securities company and deliver to investor upon request. Clause 9 In case a CIS operator fails to comply with an agreement as prescribed in Clause 7, a securities company shall not provide any
CIS operator fails to comply with the agreement made with a securities company under Clause 7, the securities company shall not provide any additional services related to selling, repurchasing and