’s Agenda, and/or change of the determination of shareholders who shall be entitled to attend the Extraordinary General Meeting of Shareholders (Record Date) and to amend or change the date to gather
or documents given by a client, the intermediary shall review and update such information without delay by taking the following actions: (a) gather and recheck information in addition to the normal
actions: (a) gather and recheck information in addition to the normal course of operation; (b) seek information on the source of income used for executing the client’s transactions; (c) arrange for the
under the first paragraph shall be in compliance with the rules as specified in the notification of the SEC. 18 SECTION 73 The SEC Office shall gather the facts relating to the commission of an offence
73 The SEC Office shall gather the facts relating to the commission of an offence which falls under the administrative sanctions and shall also have the power to exercise an initial consideration in
appointment of panelists under the first paragraph shall be in compliance with the rules as specified in the notification of the SEC. SECTION 73 The SEC Office shall gather the facts relating to the commission
) gather and allocate asset deemed to be owned by customer in order to return them to the customer; (2) transfer account and asset deemed to be owned by customer to other derivatives business operator; (3
5,638,600.00 6.05 6.01 1"2 8= 83ก!, 5> 6:, ก () (HMPRO) 313,300 4,292,210.00 4.60 4.57 $ BGก 8,354,450.00 8.96 8.90 1"2 B:C5, :"8D, 5:,C"! ก () (ADVANC) 15,700 2,763,200.00 2.96 2.94 1"2 :" 8=9"G !, ก