of the SEC’ s operation 1 2 3 4 5 6 1. Supervision of Securities Business 3/10 • For flexibility of securities business supervision and supporting Financial Technology • To promote development and

shall conduct the Know Your Client procedure on a continuous basis and update the information on the client, the beneficial owner and the person controlling the derivatives trading, as well as review the

shall contain the information prescribed and notified by the SEC Office at a minimum. Clause 27 The derivatives broker shall conduct the Know Your Client procedure on a continuous basis and update the

shall contain the information prescribed and notified by the SEC Office at a minimum. Clause 27 The derivatives broker shall conduct the Know Your Client procedure on a continuous basis and update the

PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law

ศักดิ์ในรูปแบบแฟรนไซส์ (Franchise Model System) และเพิ่มการบริการเป็นศูนย์การดูแลความงามและสขุภาพครบวงจร (Beauty Wellness Center) และ มีการขยายการบริการในรูปแบบศัลยกรรมอย่างง่าย (Mini Surgery) อีกทั้ง ขยาย

-based execution to simplify the overall procedure, (3) the clearer determination of the roles and responsibilities of company boards of directors and financial advisors to better respond to real practice

-based execution to simplify the overall procedure, (3) the clearer determination of the roles and responsibilities of company boards of directors and financial advisors to better respond to real practice

specified, and such committees shall not be responsible for the day-to-day operation. A securities company not keeping its customers’ assets in its possession is allowed to establish any mechanism or

the following orders: rectification of non-compliance operation, restriction of defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc