-General Office of the Securities and Exchange Commission _______________________________________________________________ (Translation) -8- Note: The rationale for issuing this Notification 1) to revise the
proposes the additional recommendation to the firm to revise remediation plan, as follows: 14 Findings identified by the SEC The additional recommendation to the remediation plan. No designated policies and
services. In case of change of material information, the intermediary shall review the agreement for providing services and revise the information thereof immediately. Clause 41/6 In communicating with and
the agreement for providing services and revise the information thereof immediately. Clause 41/6 In communicating with and providing services to a client, an intermediary shall proceed as follows: 19 (1
the agreement for providing services and revise the information thereof immediately. Clause 41/6 In communicating with and providing services to a client, an intermediary shall proceed as follows: 19 (1
securities depository shall review and revise its business continuity plan without delay. Part 2 Review, Monitoring, and Examination of Computer Systems relating to Clearing, Settlement, and Depository
Annual Report 2004 S h a p i n g t h e T h ai C a p i t a l M a r k e t A n n u a l R e p o r t 2 0 0 4 S E C U R I T I E S A N D E X C H A N G E C O M M I S S I O N , T H A I L A N D This year’s annual report features Benjarong ceramics. Benjarong, meaning five colours, gained popularity in the royal court and the high society of Siam in the late Ayudhya period (A.D. 1350 - 1767). But it was during the early Rattanakosin period (A.D. 1782 - present), in the reigns of King Rama II and King Rama...
derivatives clearing house shall review and revise its business continuity plan without delay. Part 2 Review, Monitoring, and Examination of Computer Systems relating to Clearing and Settlement Services with
application is received with correct and complete related documents and while the consideration for the renewal under the second paragraph is in process, the Office may order the registered person to revise its
person to revise its operation within the period of time specified by the Office and such registration shall be deemed valid until the Office orders otherwise. In cases where the Office declines to grant a