Derivatives Broker; and (2) The Notification of Securities and Exchange Commission concerning Maintaining Net Capital. 5 (2) having a system for handling client’s complaints and dispute resolution efficiently
of raised capital could be summed up to shareholders’ equity. (2) having a system for handling client’s complaints and dispute resolution efficiently, for instance the compliance according to the
authorized by the board of directors of the company to take the highest responsibility in managing the company, regardless of the title; (3) “institutional investor” means institutional investor under Section
directors of the company to take the highest responsibility in managing the company, regardless of the title; (3) “institutional investor” means institutional investor under Section 3 of Derivatives Act B.E
of financial and operational risks. In managing risks accociated with the operation of information technology, the derivatives broker shall put in place a system of control of the operation and
place an efficient risk system for the management of financial and operational risks. In managing risks accociated with the operation of information technology, the derivatives broker shall put in place a
under the Securities and Exchange Act of B.E. 2535(1992); (5) a back office system; (6) an internal control system and a system for handling of complaints and dispute resolution. A back office system in