or modifying. [M] o Inspecting consistently a name list of user for the importance operational system4 and inspecting a name list account of unauthorized user such as the name list account of resigned
provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. 1 Amended
, coupled with loan extension in the Thai banking system, may influence the setting of the deposit rates, going forward. We are therefore keeping a close watch on the situation, while analyzing the course of
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory
or home regulator, as the case may be. Clause 7. Prior to selling units of foreign collective investment scheme, securities company shall at least undertake the following steps: (1) examining
examination together with documents and evidence in full. In examining the characteristics of the units of foreign ETF, the SEC Office may instruct the applicant to make clarifications in person or submit
Auditors dated April 9, 2015. 12.3 The SEC Office begins the period of time for examining facts and considering the application for approval from the date on which the SEC official has received the required
generate profits. The business turnaround plan will also include hiring Synergy Strategic Solutions Management DMCC (“Synergy”), a business and management advisory service provider whose clients include