settled by means of arbitration and the following procedure the customer is able to proceed with in case of unsatisfactory results provided by the derivatives broker; (4) preparing a summary report in

Market Supervisory Board under Section 60 of the Securities and Exchange Act (No. 4) B.E. 2551 (2008), at the meeting no. 6/2009 held on 13 May 2009 resolved to grant approval for securities companies to

administration in the manner of deception, defraudation or corruption or having been settled the case with a fine due to the commission of such offence: O yes (please specify in detail) O the final judgement of

(please specify) For example, date of being settled the case with a fine………....………… By office ……………………………………….……….…….… In offence relating to .…………………………………………… Under the law…………………………… (attachment) (if any

settlement of a civil dispute incidental to or in connection with the undertaking of the derivatives business, such dispute will be settled by means of arbitration organized by the SEC Office in accordance

handling officer according to the said notification within fifteen days from the date on which the claimant files the complaint; 2. the claimant’s complaint is not resolved within forty five days from the

debt doubtful accounts doubtful accounts settled surplus (deficit) doubtful debt xxx xxx xxx substandard account receivable xxx xxx xxx total xxx xxx xxx 4.7 Allowance for doubtful accounts It shall

(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...