company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor

company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor

under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand (issued by CIS Operator

under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand (issued by CIS Operator

Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by

, for instance the compliance according to the Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the

Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by

Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by

securities brokerage business undertaken by a securities company, the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities

securities brokerage business undertaken by a securities company, the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities