proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
proceed as before, but in any case no later than 1 February 2020. Notified this 10th day of November 2014. (Mr. Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission 3
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
client’s assets without delay upon receivership by court order, in compliance with the following regulations: (1) The SEC Office shall proceed with the segregation and management of the client’s assets by
authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of
./Mrs./Miss/Entity ……………………….. of the risk involved in futures trading before opening an account or operating the derivatives business for the customer on the following matters: 1. The characteristics of
where the claimant does not make correction or addition within such period of time, it shall be deemed that the claimant no longer intends to proceed the arbitral process and the Office shall terminate
evidence as appropriate within the specified period. If the applicant fails to comply or proceed as required, the Office shall deem that such applicant does not intend to apply for an approval to be listed
dated 15 September 2010 for considering facts and evidence relating to orders imposed on the personnel in the capital market business before this Notification comes into force, such committee may continue
market business before this Notification comes into force, such committee may continue the consideration by using the provisions under this Notification as regulations for the consideration. Division 2