procedures and processes to resolve the issues, and lists of contact persons and the communication channels, etc.; (8) define the level of security for each type of data to be used in the cloud service by

referenced evidence in making investment decision; (4) Potential investment risks are managed when making investment decision. The investment shall be done reasonably and appropriate to the fund at a

of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

notes or investment that such transaction is done by securities company for client’s benefit. In case where bank deposits or promissory notes in the first paragraph are pay-to-maturity, such bank deposits

derivative position of the client in cases where transferring to another intermediary cannot be done; (2) The official receiver shall take any action other than those prescribed in (1) for the purpose of

Securities and Exchange Commission No. SorThor.57/2544 Re: Report Forms of Securities Companies dated 28 November 2001 shall be required to prepare and file the reports for such transactions done prior to the

done without any ground to believe that its financial status may cause damage or any circumstance indicates an ongoing financial problem; (b) capability and readiness for operational function which shall

in such a way that the screening and selection of a service provider would be done without any ground to believe that its financial position may cause damage or having any circumstance that indicates

investment advice to clients. The securities company must perform know your client (KYC) procedure continuously. This can be done by keeping client’s information, beneficial owner and controlling person up-to

derivatives broker according to this Notification or it appears that such trading is done in an inappropriate manner, the Office may order such derivatives broker to rectify, undertake, or refrain from