negotiation and the handling thereof has not completed within such period, the securities company shall maintain the records of such action until the complaint handling is completed. In the case where the
Office governing rules, conditions and procedures for handling customers’ assets deposited with the custodian; 4. The person whom the applicant will appoint as a custody agent shall be any of the following
Office governing rules, conditions and procedures for handling customers’ assets deposited with the custodian; 2 This is added by the Notification No. OrNor. 4/2547 Re: Registration of Persons Qualified to
Office of the Securities and Exchange Commission relating to the handling of customer’s complaint, as the case may be, and it appears the fact that; 1. the claimant is not contacted by the complaint
notification of the Office of the Securities and Exchange Commission relating to the handling of customer’s complaint, as the case may be, and it appears the fact that; 1. the claimant is not contacted by the
negotiation on securities investment with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such
with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such complaint has not yet been