/2552 Determination for Securities Companies to Proceed with Customer Complaints 03/08/2009 01/09/2009 2. Notification of the Office of the Securities and Exchange Commission SorThor. 32/2548 Customer
? Procedure for Civil Sanctions In cooperation with public prosecutors to proceed this step The SEC Office invites the alleged to undertake the civil sanctions determined by CSC. The offender shall comply with
) Unitholders having an aggregate amount of not less than 10% of the total sold units can request the trust manager to proceed with seeking a unitholders’ resolution to remove a trustee or nominate a candidate
, cancellation of submission of paper document or reports, and codification of rules and regulations with manuals for convenience. SEC will gradually proceed with these by the end of 2020,” Ruenvadee said.About 19
.; (2) Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that
work plans to enhance the quality of financial reporting and audit work. Regarding the enhancement of regulatory frameworks imposed on auditors and audit firms, the Thailand Development Research
authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of
any person authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in
customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of derivatives broker from
company shall proceed as follows: (1) The private fund which is not a provident fund shall comply with Clause 3(1), (2), (3) and (5) mutatis mutandis and the private fund management company shall report its