arbitral proceeding other than those prescribed herein shall be in compliance with the provisions of the Arbitration Act. Clause 5. In the arbitral process, the Office shall assign its staff to perform

the proceeding power ” means an official receiver and the SEC Office. “ client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives

securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from

management arrangement and shall be filed with the Office before proceeding with the fund management under the contract. Clause 2 This Notification shall come into force as from 16 August 2009. Notified this

auditor approved by the Office for such accounting year. For the benefits of proceeding in accordance with such provisions, the Office of the Securities and Exchange Commission hereby prescribes guidelines

SEC Office. (Reasons for seeking an exemption are required for the SEC Office's consideration). 4.5 Having not been accused of or subject to criminal proceeding, whether under Thai or foreign laws

case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been completed within such period, the record of such advice

directors in each case every time before proceeding with the subcontracting and there shall be an arrangement for the subcontractor to become a person under Clause 12, Clause 16, Clause 17 or Clause 18, as

customer’s complaint relating to the giving of advice or placing of orders whose proceeding has not been completed within such period, the record of such advice or order shall be kept until the handling of

and eighty days as from the date of receiving the license; (3)1 maintaining the qualifications specified under Clause 4 and proceeding with the matters as specified in (1) (a), (b), (c) and (d