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
the rules on sale or acceptance of redemption of investment units or customer solicitation; (4) handling investor complaints relating to the performance of duties in sale or acceptance of redemption of
representative to comply with the clause in the agreement and the rules on sale or acceptance of redemption of investment units or customer solicitation; (4) handling investor complaints relating to the
) establishing an efficient management system for handling complaints or disputes in connection with provision of services as securities registrar; (6) facilitating the examination of the securities register for
relation to the customer complaint, specifying solvable and unsolvable complaints by category and filing the report to the Office, on a quarter basis, within fifteen days from the end of a quarter. (5
effective handling of complaints and disputes arising from trading services with respect to derivatives, or from use of its services, by taking at least the following actions: (1) set out written rules on
Chapter 8; (8) handling of complaints, as detailed in Chapter 9; (9) retention of information and documents, as detailed in Chapter 10; Part 4 The SEC Office’s Power Clause 5 In order for this Notification
complaints, as detailed in Chapter 8; (8) approval of rules or regulations, as detailed in Chapter 9; (9) preparation and disclosure of financial statements, as detailed in Chapter 10; (10) retention of