operational system; · determine the event or priority of violent of problem ; · determine for solving the problem in detail; · determine the responsible officer and authorize person and having name list and

innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the Thai capital market; (2) having readiness for participating in a

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

facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the Thai capital market; (4) having readiness for participating in the regulatory sandbox in the following

plan with the public. 6.2 Recording of the details of the incident, cause of problem and the resolving measures. 3.3.8 Proxy Voting Objective A management company shall have a system on proxy voting to

accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the

evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or

, as the case may be. “ support system provider ”4 means a person approved to be a support system provider under the notification concerning support system provider . “ support system ”4 means support

Financial Institution System; (2) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Mutual Fund to Solve the Problem in Financial

investment unit redemption of gold ETF : (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from