the rules on sale or 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
representative to comply with the clause in the agreement and the rules on sale or acceptance of redemption of investment units or customer solicitation; (4) handling investor complaints relating to the
Chapter 8; (8) handling of complaints, as detailed in Chapter 9; (9) retention of information and documents, as detailed in Chapter 10; Part 4 The SEC Office’s Power Clause 5 In order for this Notification
timeframes of case management on investigation and complaint handling, and cooperating with relevant agencies such as the SET to ensure that legal action will be seriously taken against wrongdoers. Civil
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
representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer complaint handling
representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer complaint handling
) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration |- Appeal |- Others | - |- Public
)) | - |- Securities Businesses (Section 108) |- Branch Offices / Representative Offices (Section 92, 93) | - |- Branches (Section 92) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling
) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration |- Appeal |- Others | - |- Public Holidays (Section 110) | - |- Segregation of