/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

Act from stakeholders. The result of the study and the suggestions on that matter is expected to be completed in May 2020.“Then, SEC will promptly proceed with the amendment of the Securities and

.;    (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

.) To fund the future construction projects. Due to the financial difficulties of company, company could not secure the new backlog. The proceed from capital increase shall allow the company to relieve

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...

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