) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
: Name/Position (at least CEO or equivalent): ____________________________________ Email address: ___________________________________________________________ Tel No.: _____________________________ Fax No
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
person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to
: ______________________________________________________ 14) Details of contact person at the CIS Operator : Name/Position (at least CEO or equivalent): ___________________________________ Email address
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
: Name/Position (at least CEO or equivalent): ___________________________________ Email address: ___________________________________________________________ Tel No.: _____________________________ Fax No
Company’s contact person: Name/Position (at least CEO or equivalent): ___________________________________ Email address: ___________________________________________________________ Tel No
แพร่ไปแล้ว โดยคู่มือดังกล่าวส่วนหนึ่งกำหนดว่า ประธานกรรมการและผู้มีอำนาจสูงสุดของฝ่ายจัดการ (CEO in practice) ไม่ควรเป็น คนเดียวกัน สำนักงานจึงใคร่ขอความร่วมมือให้บริษัทหลักทรัพย์และตัวแทนซื้อขายสัญญาฯ