) 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

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

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

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

.................................................................. 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

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

, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in

, 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

(..........................................................) CPA No……......................... Issued by …………………………. Audit Firm Name ………………………………………………… Country …………………………………………………………… Document Checklists for Fast Track Applicants (Please mark X for all that