consultation to clients shall comply with the regulations under Chapter 4; (4) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (5) provisions of
; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each
regulations under Chapter 4; (5) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (6) provisions of communications and services related to any capital
(confirmation statement); (3) evidence of margin call in cases where the derivatives broker calls for a customer to deposit additional margin; (4) account of derivatives trading of each customer. A derivatives
the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information
passwords to maintain accountability; (2) allow users to select and change their own passwords and include a confirmation procedure to verify input errors; (3) require users to create strong passwords such as
as of 25 July 2006 7. Confirmation of the curriculum vitae . I (Mr./Miss/Mrs.) ……………………….. hereby confirm that: 7.1 all the data in this curriculum vitae and attached documents are correct, complete
, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any
คู่มือการส่งแบบ Filing online ชุดใหม่ (เริ่มใช้งาน 1 ตุลาคม 2553) การเริ่มต้นส่งข้อมูล Filing และ Filing ที่แสดงบน website 1. เมื่อเข้าสู่ website ของสำนักงานที่ www.sec.or.th ให้เลือกเข้าหน้าจอส่ง
conformity to the following rules: (1) providing system for such arranging and keeping concisely, orderly and promptly to use or verify such stored things within a reasonable time; (2) the system as prescribed