: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
and volume of transactions. The Thailand Futures Exchange Plc and the Office of the Securities and Exchange Commission prescribe no regulation on commission rates. 3.3 Risk of Liquidating Position and
Notification of the Securities and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation
Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) in conjunction with Clause 2 of Ministerial Regulation concerning Granting Approval for Undertaking of
clause (6) of Paragraph 1 under Clause 16 of the Ministerial Regulation concerning Granting Permission of Securities Business B.E. 2551 (2008) , as amended by the Ministerial Regulation concerning Granting
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
Finance with regulations prescribe the holder can redeem at the certain price or at the minimum price determined on the issuing date, by the securities company that is a selling or redemption agent of such
. 2542 (1999) and Section 18 of the Derivatives Act B.E. 2546 (2003) , and Paragraph 1(6) under Clause 16 of the Ministerial Regulation concerning Granting Permission of Securities Business B.E. 2551 (2008
statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of