provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. 1 Amended
alteration which having the regulation related to requested procedure, development or alter procedure, examining procedure and transfer operational system procedure. [A] · Providing a procedure or compliance
related to requested procedure, development or alter procedure, examining procedure and transfer operational system procedure. [A] o Providing a procedure or compliance guideline for emergency change and
examination together with documents and evidence in full. In examining the characteristics of the units of foreign ETF, the SEC Office may instruct the applicant to make clarifications in person or submit
Auditors dated April 9, 2015. 12.3 The SEC Office begins the period of time for examining facts and considering the application for approval from the date on which the SEC official has received the required
process of executing for one case; while the other two are in the process of investigating additional property to further enforcement. Progress Report of Q2/2017 Business Plan The management has strongly
proceeding to consideration process by investigating the plaintiff and defendant further. 1.5 Siam Hin Pradub Co., Ltd. A debtor under the sentence of the Civil Court of Southern Bangkok. The court sentenced
an appeal of the judgement of the Court of First Instance. Currently, both cases have not been able to reach conclusion yet so the court is proceeding to consideration process by investigating the
Auditors in the Capital Market. 3. The SEC Office begins the period of time for examining facts and considering the application for approval from the date on which the SEC official has received the required
objectives. Guidelines 1. There should be an assessment of capability in establishment of a fund in accordance with the relevant laws and related notifications by examining the plan for establishment of the