Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
for submission) Complaint Form Explicit information and complete evidence provided will be beneficial to resolving your complaint. The SEC may have to disclose complainant’s information to related
clients. 23The securities company must perform know your client (KYC) procedure continuously. This can be done by keeping client’s information, beneficial owner and controlling person up-to-date, as well as
application and providing investment advice to clients. 23The securities company must perform know your client (KYC) procedure continuously. This can be done by keeping client’s information, beneficial owner
of Thailand (AFET) and Thai Futures Exchange (TFEX) which will be beneficial in term of economy of scale. It will also be more convenient for investors to invest in single market with both agricultural
Agricultural Futures Exchange of Thailand (AFET) and Thai Futures Exchange (TFEX) which will be beneficial in term of economy of scale. It will also be more convenient for investors to invest in single market
investment advice to clients. The securities company must perform know your client (KYC) procedure continuously. This can be done by keeping client’s information, beneficial owner and controlling person up-to
shall conduct the Know Your Client procedure on a continuous basis and update the information on the client, the beneficial owner and the person controlling the derivatives trading, as well as review the
knowledgeable, capable or experienced and who are beneficial to the undertaking of the derivatives brokerage business in a sufficient number to accommodate the undertaking of the derivatives business in an