. In considering the application under Clause 5, the SEC Office, in addition to reviewing the application and the supplementary documents, shall be authorized to instruct the applicant to provide
this Notification. Clause 6. In considering the application under Clause 5, the SEC Office, in addition to reviewing the application and the supplementary documents, shall be authorized to instruct the
13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which
from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with
Derivatives Business Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established
instruction from, the act of, or the failure to give instruction or to act which is a duty required to be performed by, the director, manager or any person responsible for the operation of such securities
an alleged person, a witness or expert witness. Division 2 Determination of Administrative Sanction Clause 14. In considering an administrative sanction to be imposed on an alleged person regardless of
instruction by the official agency or the competent authority under law, in the country or in a foreign country, to improve the work system relating to accepting deposits of the assets of the customers or any
(EGAT) per EGAT’s dispatch instruction, the gross profit increased by Baht 52 million or 36% from Q1/2017 from the increase in the Availability Rate and the Weight factor. • Rayong Central Utilities Plant
’ meeting, the memorandum of association, and/or application and/or any other actions necessary to comply with instruction of the registrar during the registration process for the increase in registered