) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating
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e-service Online Submission See canceled document Derivatives Advisors >> Registrar and Licensing Type Title Section See Document Status Notified Date Effective Date 1. Act The Derivative Act B.E
e-service Online Submission See canceled document Derivatives Advisors >> Activities not deem to be classified as operating securities business Type Title Section See Document Status Notified Date