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

application. b. Please mark an X in the appropriate box corresponding to your answer c. Send completed and signed forms to - Accounting Supervision Department The Securities and Exchange Commission, Thailand

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

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

capital market product denominated in foreign currency which is issued or offered for sale in a foreign country; “ debenture denominated in foreign currency ” means any debenture denominated in foreign

. 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

product denominated in foreign currency which is issued or offered for sale in a foreign country; “ debenture denominated in foreign currency ” means any debenture denominated in foreign currency and

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the