2004, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come into force as from 16 January 2005. Clause 2. In this
company as its representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer
representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer complaint handling
following regulations: Clause 1 This Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes
. Itthipat Peeradechapan shall pay a civil penalty, a compensation in the amount equal to the benefit that would have been received, and a reimbursement of investigative expenses incurred by the SEC
Permission and Granting of Permission to Establish Service Offices for Investment Management Business dated 17 February 1997 shall be repealed. Clause 2. In this Notification, “Fund” means any mutual fund or
, Conditions and Procedures for Applying for Permission and Granting of Permission to Establish Service Offices for Investment Management Business dated 17 February 1997 shall be repealed. Clause 2. In this