) 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

finished. etc. [M] · Determining a service provider prepare a compliance manual and related document and modify it up to date. [M] · Determining a service provider provide report the functionality, other

fairly. The investment advisory company shall submit an application for approval to the Office together with the document evidences as prescribed by the Office. The Office shall finish the consideration of

of purchaser, representing the right of the holder of such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus

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

Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

whereby the management company should arrange for a written document prescribing procedures and periods for examination of the exercise of the right to vote to comply with the voting guideline prescribed by

.................................................................. as an authorized person to affix binding signature on every page of this document. If the signature of...........................................does not appear on any document, such document shall be

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