process to members and shall include a system, in form of a committee, for consideration of appeals filed by the members against the disciplinary sanction. The Capital Market Supervisory Board rules
is made. The storage of such document or evidence shall be made in the manner which is immediately available upon the Office’s request for a review or an inspection. Clause 4 This Notification shall
official shall be an official under the Criminal Code. Chapter 8 Sanctions, Statute of Limitation and Settlement Committee _________________ Division 1 Administrative Sanction _____________ SECTION 67 The
.................... · · Removable Storage โปรดระบุจำนวนบุคลากรที่ใช้อุปกรณ์ดังกล่าว.................... · · Others (โปรดระบุ) โปรดระบุจำนวนบุคลากรที่ใช้อุปกรณ์ดังกล่าว.................... จำนวนบุคลากรที่ใช้อุปกรณ์เคลื่อนที่ที่ จัดหา
, act or refrain to act in order to comply with this Notification. Clause 15 In case a derivatives dealer breaches this Notification, the derivatives dealer shall be liable to administrative sanction
information via the public network, it shall receive an international standard encryption such as SSL,VPN etc. [M] · Providing a measure on controlling the correct of information that storage, input, operate
ข้อมูลเชิงอรรถได้อย่างครบถ้วนก่อนการตัดสินใจลงทุนได้อย่างเหมาะสม 10. บทลงโทษเชิง administrative sanction หากบริษัทหลักทรัพย์ไม่ปฏิบัติตามประกาศโฆษณา สำนักงานจะใช้ดุลยพินิจใน การพิจารณาลงโทษบริษัทหลักทรัพย์
record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its customers, confirmation statement, evidence of
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
an efficient and ready work system for providing services as securities registrar will be put in place, considering the preparation, data processing and storage, and reporting of service provision; (4