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
regulations. If a provident fund which has been set up before the effective date of this Act is intended to be a fund under this Act, it shall proceed in accordance with the first paragraph. Section 7. A fund
offense relating to property committed with dishonest intent; (3) Having been an executive of a financial institution whose license is revoked, unless an exemption has been granted by the Office; (4) Having
also be empowered to proceed with subsection (2), (3) or (4). SECTION 51 . In cases where the SEC Office issues orders to suspend the operation of a derivatives business operator either in whole or in
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
proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as
person to be an executive of the company or in cases other than (2), the derivatives business operator shall proceed the followings: (a) in case of an appointment of a person to be director or manager, the