in the notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures

and the available remedies under either the terms of the debt securities or the applicable law. H. Representative of Debt Securities Holders 1. Disclose the party that is acting as the debt securities

Baa1 Baa1 Baa1 Subordinated Debt Instrument Baa2 Baa2 Baa2 Subordinated Debt (Basel III-compliant Tier 2 securities) Baa3 Baa3 Baa3 Financial Strength (BCA) baa1 baa1 baa1 Outlook Stable Positive

securities company, Bank of Thailand or licensed to undertake securities business in the category of securities trading under the foreign law; “Institutional client” means the following customers: (1

securities company, Bank of Thailand or licensed to undertake securities business in the category of securities trading under the foreign law; “Institutional client” means the following customers: (1

in the category of securities trading under the foreign law; “Institutional client” means the following customers: (1) commercial banks; (2) finance companies; (3) securities companies; (4) credit

date on which the claimant files the complaint, unless the claimant agrees to extend such period; or 3. the claimant is not satisfied with the compliant resolution. Clause 7. In filing the dispute to the

from the date on which the claimant files the complaint, unless the claimant agrees to extend such period; or 3. the claimant is not satisfied with the compliant resolution. Clause 7. In filing the

from the date on which the claimant files the complaint, unless the claimant agrees to extend such period; or 3. the claimant is not satisfied with the compliant resolution. Clause 7. In filing the

law and regulation, and information technology. Questions Yes No 7.3 Executives at all levels participate in risk management. 7.4 The company assesses the significance of risks by considering the