customer; “Office” means the Office of the Securities and Exchange Commission. Clause 2 . A management company shall appoint a natural person or a juristic person as its representative pursuant to the

December 2001 shall be repealed. Clause 2. In this notification: “Investor contact person” means a natural person who has been approved to be an investor contact person under the Notification of the

Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of

and communication technology infrastructure; (h) alternative energy; (i) water management system or irrigation; (j) natural disaster preventive system, including the warning and management systems to

employee for the benefit of working. 2 “employer” means a person who agrees to recruit the employee to work by paying wages, notwithstanding whether it is a natural person or juristic person, and whether or

securities investments; “investment advisory agent” means a natural person other than director or officer of the investment advisory company, appointed by the investment advisory company to be an advisory

. In this regard, if the intermediaries proceed differently from this practice guidelines, the intermediaries shall have an obligation in proving that such proceeding is still under the principles and

necessary and appropriate; (b) the dispute between a natural person who agrees, receives or uses services, or enters into a contract with the respondent relating to securities or securities business, or the

proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An

as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a