rendering a waiver, the SEC Office may request the approved person to submit additional information or documents. In case the approved person fails to complete its offer for sale within the specified period
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory
controlling employee of securities trading, and such other information under possession of the securities company, upon receiving a request by the other securities companies within a reasonable period; (3
(system change) (1) มีการประเมินผลกระทบ และจัดลำดับความสำคัญของ การเปล่ียนแปลง (2) มีกระบวนการขออนมุัติการเปล่ียนแปลง (change request) โดยต้องได้รับการอนมุัติจากหน่วยงานเจ้าของระบบ (system owner) เป็นลาย
categorized type of the client , the intermediary shall notify the client to acknowledge the result of the client ’s categorization, rights, restrictions and risk level, including right to request for changing
already categorized type of the client, the intermediary shall notify the client to acknowledge the result of the client’s categorization, rights, restrictions and risk level, including right to request for
provident fund for all transaction including the detailed calculation of the money payable to the fund, unit allocation and value per unit should be made upon request of each member for examination of the
per unit should be made upon request of each member for examination of the correctness of the contribution to the fund by the member. In this regard, the appropriate expenses may be levied within the
. BOT.ForNorSor. (23)c.276/2561 Re: Request for Cooperation from Financial Institutions to Refrain from Making or Being Involved with Cryptocurrency Transactions, dated February 12, 2018. The Bank of Thailand and