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
adequate information for customers’ risk assessment (Know Your Customer and Customer Due Diligence system (KYC/CDD)). DAB Act S.30 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 4
procedures as specified in the notification of the Securities and Exchange Commission. In this regard, Merkle’s 11 bank accounts used to deposit customer cash were under the company's name without the
น.ส. จีรัศยา ถาวร ผู้แนะนำการลงทุนด้านหลักทรัพย์ เสนอขายกองทุนไม่เหมาะสมกับข้อมูลลูกค้าตาม customer profile ประกาศคณะกรรมการกำกับตลาดทุน ที่ ทลธ. 0008/2557 ข้อ 23 วงเล็บ 2 สั่งพัก 06/03/2560 - 05/07
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer