of the Office of the Securities and Exchange Commission No. SorThor. 49/2549 Re: Rules on Exemption from Appointment of Independent Director of Securities Companies -------------------------------- By
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
/derivatives Statement report Confirmation note Transfer form Other documents such as a copy of share certificate, subscription form, etc. ● Contact evidence such as email and chat messages with the
านยนืยนัการลงทุนหรือการท าธุรกรรมของลูกคา้ (confirmation statement) ใหแ้ก่ลูกคา้ตามวธีิการท่ีไดต้กลงไวก้บัลูกคา้ภายในวนัท าการถดัจากวนัท่ีมี การลงทุนซ้ือขายหรือท าธุรกรรมในผลิตภณัฑใ์นตลาดทุน 2.7 เพื่อ
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for
) and Economics), Georgetown University, Washington D.C., U.S.A Current Appointments Member of Financial Institutions Policy Committee, Bank of Thailand Independent Director and Member of the
) and Economics), Georgetown University, Washington D.C., U.S.A Current Appointments Member of Financial Institutions Policy Committee, Bank of Thailand Independent Director and Member of the
Securities and Exchange Commission Independent Audit Inspection Activities Report THE ROAD LEADING TO GROWTH 2013 This report is available for download on the SEC website: www.sec.or.th Contact For
communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management
A-3 Form for Confirmation of Cost of Tendered Shares (Only for foreign juristic persons not operating a business in Thailand) Form A-4 Power of Attorney (for Tender Offer Acceptance) Attachment 2