directors of the company to take the highest responsibility in managing the company, regardless of the title; (3) “institutional investor” means institutional investor under Section 3 of Derivatives Act B.E
of financial and operational risks. In managing risks accociated with the operation of information technology, the derivatives broker shall put in place a system of control of the operation and
place an efficient risk system for the management of financial and operational risks. In managing risks accociated with the operation of information technology, the derivatives broker shall put in place a
under the Securities and Exchange Act of B.E. 2535(1992); (5) a back office system; (6) an internal control system and a system for handling of complaints and dispute resolution. A back office system in
complaint handling system in relation to securities business undertaken by the securities company, its employee or its agent; (2) receive a complaint in (1) from a customer and complaint from a customer
representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer complaint handling
) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration |- Appeal |- Others | - |- Public