period of emengency incidents happened for checking asset balance and doing transactions, and action measures of companies. Also, companies shall periodically communicate a progress of operation in case of
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
Office. (4) giving advice through any media or at any seminars where the media owners, program owners, columnists, website hosts or seminar organizers arrange for derivatives advisers, being natural
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
baht when combined with deposit , according to the audited financial statements for the most recent financial year; (2) a natural person including the spouse, having any of the following characteristics
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
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
securities brokering, dealing, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities
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