to cover a disruption possibly occured in every incident and a case where an occurrence of emergency incidents lasts a long time or results in damage covering wide areas, such as epidamics or a failure
opening accounts or engaging in business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a
the date of the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: (1) proceed to solve the problem described in the complaint rapidly
the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an
person. [ ] Yes [ ] No (3) I have been denounced by the SEC Office or have been tried in any criminal proceedings resulted from denunciation by the SEC Office or was imprisoned by the court’s final
proceedings to the solution is deemed final, unless otherwise specified by the Office. Clause 5 This Notification shall come into force from 1 December 2005. Notified this 14th day of November 2005 (Mr
businesses shall have the meaning as defined in the International Accounting Standard 24: Related Party Disclosures. Please provide the information of the ultimate shareholder of the Audit Firm. If the major
ดำเนินงานของผู้ขอผ่อนผันอย่างมีนัยสำคัญ (เช่น มีการส่งบุคคลเข้าเป็นกรรมการที่มีอำนาจจัดการ (authorized director) ในผู้ขอผ่อนผัน) และมีบุคคลอื่นเป็นผู้รับประโยชน์ที่แท้จริง (ultimate shareholder) (เช่น ผู้
……………………………………………………… By (name of the organization)...…………….(attachment)(if any) O No 2.2 For the past 3 years prior to the application filing (1) Was imprisoned by final judgement in offence against property committed with
identity of the client , the ultimate beneficiary for the securities trading of the client , and the controlling person of the client , and consider and arrange sufficient information or evidentiary