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
date of submission of the application. In this regard, such attendance shall continue from the previous one and shall be required at least once every two calendar years as from the calendar year 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
is unable to comply with terms specified in clause 7/2, the company shall proceed and complete its amendment at the earliest occasion, provided that it shall take into account the best interests of its
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 in the register of person qualified
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
) management of information relating to clients’ assets . Clause 7 In undertaking custody of clients’ assets , a securities company shall proceed as follows: (1) give information and have its clients sign for
In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of
have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of prohibited characteristics in Group 3 under Chapter
company shall proceed as follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer