this application. b. Please mark an X in the appropriate box corresponding to your answer c. Send complete and signed form to Accounting Supervision Department The Securities and Exchange Commission
คุณสมบัติของกรรมการและผู้บริหารว่าไม่มีลักษณะขาดความน่าไว้วางใจตามหลักเกณฑ์ที่กำหนด ดังนี้ เมื่อบันทึกข้อมูลครบแล้วให้ทำการส่งข้อมูลโดยการเลือกปุ่ม SEND ที่อยู่ด้านล่างของหน้าจอ 5. หลังจากกด SEND แล้ว หน้าจอ
. 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
application. b. Please mark an X in the appropriate box corresponding to your answer c. Send completed and signed forms to - Accounting Supervision Department The Securities and Exchange Commission, Thailand
customer. Derivatives broker must send the confirmation statement and the evidence of margin call under the first paragraph to customers by the method agreed with the customers within the next business day
service at the moment. If the investment advisory company under the first paragraph intends to resume the advisory service, the company shall give prior notice in writing to the Office, for not less than
broker shall send the confirmation statement and additional evidence of margin call prescribed under Paragraph 1 to customers through the method agreed upon by the customers within the next business day
organizer to send the participants’ information to the database center via the electronic system to facilitate access of information of the Contacts. 2. Further education The Contacts who have passed the
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
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