. 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
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
Exchange Commission, which were effective prior to the effective date of this Notification, shall remain in full force and effect to the extent that they are not inconsistent with nor contrary to the
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
securities company shall send a report on a client’s assets as of the last business day of each month to the client within the fifth business day of the following month, except the month where no transaction
คุณสมบัติของกรรมการและผู้บริหารว่าไม่มีลักษณะขาดความน่าไว้วางใจตามหลักเกณฑ์ที่กำหนด ดังนี้ เมื่อบันทึกข้อมูลครบแล้วให้ทำการส่งข้อมูลโดยการเลือกปุ่ม SEND ที่อยู่ด้านล่างของหน้าจอ 5. หลังจากกด SEND แล้ว หน้าจอ
Office, through a method agreed upon with the client. Clause 26 In case of the following transactions, an intermediary shall send out a confirmation statement with details under Clause 25 to clients within
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
inconsistent with the stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication
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