) receiving and managing complaints appropriately; (e) taking action against members who violate or fail to comply with standards and ethics regarding appraisal profession; 9 (f) organizing training courses
) specifying the activities of the intermediary which shall be approved by the SEC Office before doing thereof in order to prevent the breach or fail to comply with requirements of this Notification; (5
Office, no later than 31 December 2019. In the case where any personnel in the capital market business under Paragraph 1 fail to attend such training course within the specified period, the intermediary
recognized by the SEC Office, no later than 31 December 2019. 9 In the case where any personnel in the capital market business under Paragraph 1 fail to attend such training course within the specified period
organized by an agency recognized by the SEC Office no later than 31 December 2019. In the case where any personnel in the capital market business under Paragraph 1 fail to attend such training course within
fail to attend such training course within the specified period, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products
ผูประกอบธรุกิจ SBL และนําไปขายชอรตหลักทรัพยผานบัญชีเงินสดได โดยไม จําเปนตองเปนบริษัทหลักทรัพยเดยีวกับที่ยืมหลักทรัพย 2. กรณียืมหลักทรัพยเพื่อไป cover fail บริษัทหลักทรัพยสามารถยืมผานศูนย
required to deposit more collateral; (2) had the client fail to pay, deliver securities or deposit collateral within the specified period of time, the client may face the following disciplinary action
which may lead the client to lose or be required to deposit more collateral; (2) had the client fail to pay, deliver securities or deposit collateral within the specified period of time, the client may