derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one appearing in the documents and evidence used for opening
Office shall conduct due diligence of the facts in accordance with the steps and procedures specified in the Licensing Manual for the Public, and shall inform the applicant of any observation from the due
transactions due to differences in securities clearing houses; (2) practical steps and procedures for dealing with the case of default in securities clearing or settlement which is enforceable on other
Notification of the Capital Market Supervisory Board No. TorThor. 7/2557 Re: Rules, Conditions and Procedures for Selling, Repurchasing and Redeeming Units of Foreign Collective Investment Scheme
. 41/2555 Re: Rules, Conditions and Procedures for Trading of Units of Foreign Collective Investment Scheme to Institutional or High Net Worth Investor By virtue of Section 16/6 and Section 113 of the
. When it appears that any executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of
securities businesses specified in the license within one hundred and eighty days from the date of obtaining the license; (3) the licensee shall maintain the qualifications under Clause 11 and take steps in