securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from

documentation by 31 December 2009. Clause 36 All notifications of the SEC Office, orders, and circulars which are issued under or that lay down the guidelines under the Notification of the Securities and Exchange

processes to ensure that the client is the same person whose identity appears in the evidentiary documentation of an application for doing business transactions with the securities company , and verify the

___________________________________ By virtue of Section 81 of the Securities and Exchange Act B.E. 2535 (1992) , the SEC Office hereby issues the following regulations: Clause 1 The following Notifications shall be repealed: (1) the

application with the SEC Office together with the relevant evidentiary documentation in accordance with the form and procedure prepared on the website of the SEC Office. Clause 6 In case the SEC Office has

_________________ Clause 5 An applicant shall submit an application with the SEC Office together with the relevant evidentiary documentation in accordance with the form and procedure prepared on the website of the

application for a license and the granting of a license to provide services as a securities registrar, which is subject to other specific rules governing such matter as prescribed by other Notifications. Clause

: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting

September 2013, the SEC Office hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 October 2015. Clause 2 The following Notifications shall be repealed: (1

into force from 16 November 2018. Clause 2 The following Notifications shall be repealed: (1) Notification of the Capital Market Supervisory Board No. Tor Thor. 25/2556 Re: Outsourcing Operational