compliance finished or in the necessary case for compliance in the long period, it should change password in every three months etc. · In case of non compliance in front of computer’s screen, it shall have a

financial position; (2) The management company has no sign of misconducts or no records which make it inappropriate for the company to expand its business by way of establishing a branch office or which may

thirty days, the Office may extend the period for consideration as needed. When meet the period specified in the second paragraph if the Office does not notify the result of its consideration, or does not

the period of thirty days, the Office may extend the period for consideration as needed. When meet the period specified in the second paragraph if the Office does not notify the result of its

custodian must not expand its business operation, during the period which the custodian can not maintain its financial position as specified under Clause 4, until such custodian can regain its financial

financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts or no records

broadening cross-border investment channels and product choices for investors in both markets. This cooperation framework opens up new business opportunities for Thai AMCs by allowing them to expand investor

date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the

complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress

complaint has not yet been finished within such period, the securities company shall maintain records of such action until all complaint handling procedures are completed. In cases where giving of advice