/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process

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

The fund shall be managed by a person who is not the employer and is licensed to operate securities business in the category of private fund management under the law governing securities and exchange

or order must be kept until the complaint has been completely dealt with; If the giving of advice or placing of order under the first paragraph has been made via telephone or by electronics mean, a

; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices

; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices

fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a

Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify criteria of acceptable index ( please

investment units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause

by the intermediary . Clause 10 In case of doubt whether or not the assets segregated and managed by the SEC Office are clients’ assets , the SEC Office shall settle such assets with the official