: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and

custodian agent can perform its duties as designated in accordance with the Notification of the Office Re: Rules, Conditions and Procedures on Handling of Customer’s Assets Deposited with Custodian. Clause 3

acceptance of redemption of investment units or customer solicitation; (4) handling investor complaints relating to the performance of duties in sale or acceptance of redemption of investment units or customer

complaint handling system in relation to securities business undertaken by the securities company, its employee or its agent; (2) receive a complaint in (1) from a customer and complaint from a customer

Licensees shall pay the fees within the 31st day of January of the following year. In case of termination of business or revocation of license, the licensees shall pay the unpaid fee or the remaining fee

efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company

. 4.2 Having a system for handling clients’ complaints and dispute resolution efficiently, for instance, compliance with the Notification of the Capital Market Supervisory Board concerning Rules on Duty

client by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c) handling of the

) handling of the client’s complaints; (d) risk management of various types including IT risk. (3) notify the client that the provision of services is in accordance with the regulatory sandbox , which contains

termination of business or revocation of license, a licensee shall pay the unpaid fee or the remaining fee within thirty days from the date when the Minister approves the termination of business or revocation