license and evidence on renewal of such license; (11) Copy of Identification Card; (12) Copy of the Shareholders Name List (Form Bor. Or. Jor. 5). In this regard, I confirm my willingness to provide
Success) และเมื่อเรียกดูสถานะของเอกสารที่ปุ่ม “ Click ที่นี่เพื่อดูประวัติการส่งข้อมูล ” ระบบจะแสดงผลเป็นรายการที่ส่งเป็น Not confirm จนกว่าจะถึง 6.00 น. ของวันรุ่งขึ้น เมื่อระบบ จึงจะเปลี่ยนเป็น Confirmed
the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information
. In case of the complaint received by the securities company from a customer and relating to duties executed by its agent, the securities companies shall send such complaint to the agent to find a
accordance with the relevant rules and for the work unit responsible for post-trade operation to confirm the securities buying or selling with the counterparty promptly. Clause 8 A securities company shall be
) prescribe procedures and methods for reporting to the board of directors or the audit committee in case where compliance officer and compliance unit find breaches of the laws, code of ethics and professional
regulations under Chapter 4; (5) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (6) provisions of communications and services related to any capital
balance, and shall confirm the transfer of money or assets in and out of the fund. There shall be system to issue and send the reports on asset flow of the fund to the clients regularly and in appropriate
consultation to clients shall comply with the regulations under Chapter 4; (4) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (5) provisions of
report the result of securities dealing in accordance with related rules and the work unit responsible for post-trade operation can immediately confirm the securities trading with its counter trader