. 4.2 Having a system for handling clients’ complaints and dispute resolution efficiently, for instance, compliance with the Notification of the Capital Market Supervisory Board concerning Rules on Duty
efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company
Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments (No. 2) dated 25 March 2009. Clause 3 In this Notification, unless otherwise specified: (1) “ executive ” shall have the same
conduct approved by the board of directors or the executive board of directors of the securities company . Clause 5 A securities company shall establish measures for preventing an access to insider
capital market. “ license under regulatory sandbox ” means a license for establishing a securities trading center under regulatory sandbox . “ executive ” means a manager, deputy manager, assistant manager
Office to participate in a regulator sandbox in accordance with this Notification. “ executive ” means a manager, deputy manager, assistant manager, departmental director or any equivalent position called
Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
of Directors and the total number of directors, the proportion of independent directors compared with the total number of directors and the proportion of non-executive directors compared with the total
damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 26/2551 Re: Rules, Conditions and Procedures for Being Executive