procedures for settlement of disputes by arbitration to be able to accommodate disputes relating to securities and derivatives contracts to ensure that the arbitral process organized by the Office is

providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the

Securities and Exchange Commission No. KorThor/Nor/Khor. 4/2551 Re: Amount of Damages Arising from Derivatives Transaction for Settlement by Arbitration _____________ By virtue of Section 9 and the second

settled by means of arbitration and the following procedure the customer is able to proceed with in case of unsatisfactory results provided by the derivatives broker; (4) preparing a summary report in

3 The derivatives dealer shall enter into an agreement with the client in writing at the time agreed upon to provide services to the client to arrange for a dispute resolution by an arbitration

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

. Clause 19 A securities company shall keep records of the giving of advice and negotiation on securities investment with a client for at least one month from the date on which the giving of advice or

. Securities company shall keeping the record on an securities investment advice and securities investment negotiation of the client for at least one month as from the day of giving an advice or as from the day

regarding complaint handling and entering into the Office’s arbitration process for the settlement of dispute between the securities company and the customer. In the case where the securities company lacks of

negotiation on securities investment with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such