handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC
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
securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit
the process of liquidation as deemed appropriate. The liquidator shall also submit to the Office a monthly report on the progress of liquidation until the liquidation is completed. The provision under
offered for sale by one of the following means: (a) being an outbound product which is offered for sale in the countries in which the regulators under (2) are located (skin in the game); (b) being an
which is offered for sale by any of the following means: (a) being an outbound product which is offered for sale in the countries wherein the regulators under (2) are located (skin in the game); (b) being
bases in Hong Kong and China . In addition, it provides a tangible progress in building economic relation between Hong Kong and Thailand in accordance with the aforementioned MoU between both governments