is not able to reach a satisfactory solution of the customer; (3) record the complaint in (1) from the customer in writing with the customer’s signature for certification prior to the securities
(Notification of Securities and Exchange Commission) Form 104-4 Certification of Executive Profile of Securities Company 14. Report/Form (Notification of Securities and Exchange Commission) Form 104-5 Form for
) Form 104-3 Application Form for an Approval of Executive of Securites Comnpanies 7. Report/Form (Notification of Securities and Exchange Commission) Form 104-4 Certification of Executive Profile of
and Exchange Commission) Form 104-3 Application Form for an Approval of Executive of Securites Comnpanies 15. Report/Form (Notification of Securities and Exchange Commission) Form 104-4 Certification
more than three months prior to the date of application submission; (7) draft of terms and conditions of warrants; (8) a certification letter of independent directors’ qualifications. 2 In cases where
capital market. The fraudulent activities include forging licenses and falsely claiming certification of the SEC and official authorities. There were deceptive uses of names and images of market
Certification Program (DCP) ซึ่งเป็นการเตรียมความพร้อมด้านความรู้และทักษะที่จำเป็นในการทำหน้าที่กรรมการ โดยผู้ที่ผ่านหลักสูตร DCP จะมีรายชื่อในฐานข้อมูลกรรมการ (Director Pool) ซึ่งเป็นแหล่งข้อมูลเพื่อการสรรหา