Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
exchange, outside the Securities Exchange or an over-the-counter center, of securities, for one's own account in the normal course of business. "investment advisory service" means giving advice in the normal
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
characteristics as specified in the notification of the SEC. “derivatives exchange” means any center or network through which derivatives trading is provided in the ordinary course of business, whether by way of
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
required; 2.3 consider risks of media degrading while stored information is still needed and methods on how to handle such risks in case of prolonged storage; 2.4 keep all media in a safe and secured
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
Exchange” means the Stock Exchange of Thailand; “securities trading center” means the securities trading center under the law on securities and exchange; “Office” means the Office of the Securities and
Commission Remarks : The reason for issuing this Notification: the fact that a derivatives broker acting as market maker of gold derivatives in derivatives trading center licensed by the Securities and