in Securities Business. 1.2 Order collecting process. 1.3 Rectification and amendment of orders recorded in error, for instance timeframe, procedures and the person so assigned. 1.4 Verification of

is less than one Satang or at least one Satang or greater, but less than 0.5 percent of the correct unit value, the management company shall prepare and submit a report on the error to the fund

handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings

of the risk management or allocation of IT resources in a year, etc.; (b) any progress of the IT project (if any); (c) any compliance with the regulations, rules or agreement made with external parties

than 0.5 percent of the correct unit price, the management company shall prepare and submit a report on the error in the unit price to the fund supervisor within seven business days from the date the

services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing

communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC

report at the head office for the period of no less than five years as from the last date of that calendar year for inspection by the Office. Clause 14. In the case where there is such error with the

ลงทุน ดังกล่าวไว้แล้วอย่างเต็มจำนวน (ง) การลงทุนเนื่องจากเกิดความผิดพลาดในการส่งคำสั่งซื้อขายสัญญาซื้อขายล่วงหน้าให้แก่ลูกค้า (error port) (5) การสลักหลัง รับอาวัล หรือให้การรับรองตั๋วเงิน หรือการเป็นผู้

complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress