) 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

a license under Clause 3 shall be submitted together with the following evidentiary documentation: (1)( details of the work system for preparing, procesing, storing and reporting provision of services

, compiling, processing, storing and retrieving information related to obligation repayment and cautious delivery of the underlying goods (if any); (4) a system for custody of assets of service users by

systems, network, equipments and backing up and recovery of important data, whereby it is able to recover the latest data as specified from equipments or storing locations. 8.2.5 Readiness of alternative

and damage prevention system which the securities company should provide for the computer centre. Compliance Guideline 1. Computer Centre Controlling · Storing the importance computer devices such as

inconsistent with the stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...

systems assets or equipment assets shall be identified and inventory of these assets should be drawn up an maintained. Such inventory shall be reviewed at least once a year or upon any material change

asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from

and reconciliation of private fund assets to ensure accuracy and completeness; (d) System for asset inventory demonstrating details and amount of private fund assets and records of acquisition and