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

regard, the detailed feature of the certificate thereof shall be described in the report. Clause 6 In case of necessity where an offeror would not be able to submit the report as prescribed in this

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

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

. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the complaint has not yet been finished within such period, the securities company shall

understand the feature, risks and specific conditions of such capital market products every time before making a decision to invest. After having performed in compliance with the first paragraph, the

) providing additional consultation involving feature, risk and return of the investment or transaction for the client ’s reviewing or reconsidering if the client insists to invest. After giving additional

shall perform the following conducts: (1) notifying the client ; (2) providing additional consultation involving feature, risk and return of the investment or transaction for the client ’s reviewing or

ที่มีความมั่นคงปลอดภัย [ ข้อ 5.4 แนวปฏิบัติ 3 ทั้งหมด ] คณะทำงานกลุ่มย่อย AIMC ขอเป็น reasonable effort เนื่องจากระบบเก่า หรือระบบใหม่บางระบบ อาจไม่มี feature รองรับหลักเกณฑ์บางประการ สำนักงานได้ปรับ