the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause 13. The securities
by the Notification of the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause
from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with
acknowledgement of procedures for making a deposit or withdrawal of assets with or from the securities company, and methods for undertaking custody of clients’ assets as well as fees charged for custody of such
relating to clients’ assets. Clause 7 In undertaking custody of clients’ assets, a securities company shall proceed as follows: (1) give information and have its clients sign for acknowledgement of
relating to clients’ assets. Clause 7 In undertaking custody of clients’ assets, a securities company shall proceed as follows: (1) give information and have its clients sign for acknowledgement of
given by the audit committee or any board member. Please be informed for acknowledgement, Sincerely yours, Mr. Wutichai Leenabanchong Chairman
staff. A full disclosure for the shareholders’ acknowledgement and regulatory compliance are a must. It is at the discretion of the Board of Directors to determine an appropriate mix of the board
, it should assess related affect and record such alteration up to date, including communicate to the concerned person for acknowledgement. [M] · It should install software as necessary for operation and
communicate to the concerned person for acknowledgement. [M] o It should install software as necessary for operation and legal copyright. [M] 7. Capacity planning. o Providing an assessment the importance