; “ complaint ” means a compliant relating to or as a result of derivatives business in the category of derivatives brokerage. Clause 2 For appropriate customer complaint proceedings, a derivatives broker shall
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
operating system which is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed
of having negotiation. In case where the consideration of the compliant about the securities investment advice or securities investment negotiation is not finish within specified period of time, the
date on which the claimant files the complaint, unless the claimant agrees to extend such period; or 3. the claimant is not satisfied with the compliant resolution. Clause 7. In filing the dispute to the
obtaining an approval to appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the
appointment to be the agent in the Kingdom of Thailand shall be conforming to the rules under Clause 6; (2) in case of investment units in any other case except sub clause (1), the appointment to be the agent
the agent in the Kingdom of Thailand shall be conforming to the rules under Clause 6; (2) in case of investment units in any other case except sub clause (1), the appointment to be the agent in the
case the outsourcing policy or contract fails to be conforming to the regulations under this Notification, the intermediary shall amend such policy or contract in order to be in accordance with this
conforming to the principle of Clause 30 and Clause 38 of the Notification on Standard Conduct of Business . Clause 29 The following products shall be deemed as risky or complex capital market products: (1