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

shall: (1) have personnel in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable

Certification Program (DCP) [  ] Director Accreditation Program (DAP) [  ] Audit Committee Program (ACP) [  ] Finance for Non-Finance Director (FN) [  ] The Role of Chairman (RCP) [  ] Understanding 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

the duties similar to fund manager. (2) Specific Rules (a) Being a manager of the management company or holding any position from second to manager down to department director whose role is responsible

of the operation or any other proceeding in a manner that reflects the role in the operation of such business. “v enture capital ” means a juristic person established under Thai or foreign law with the

) .......................... …….… ................... ………..………….. Details of duties and responsibility ……............................................. Form as of 25 July 2006 3.3 Additional Training O Having passed or being under a training course relating to the role

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

performing such role. In this regard, if such compensation is in accordance with the rules under Clause 15 (2), the management company may proceed without the approval of the mutual fund supervisor prior to

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