/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
following manners: (1) the spouse or a minor child of any such person; (2) a natural person or a company that holds a majority voting of any such person’s shares, which means: (a) any natural person or
(EGAT) to purchase the rest of 130,000 tons of crude palm oil to be used as electricity. For natural fatty alcohols market in 3Q/2019, the demand was slow down which was affected from US China trade war
application for obtaining the approval thereof. Clause 33 : In case a person obtaining an approval from the SEC Office has possessed prohibited characteristics, the SEC Office shall proceed as follows: (1) in
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