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
. In this regard, if the intermediaries proceed differently from this practice guidelines, the intermediaries shall have an obligation in proving that such proceeding is still under the principles and
proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
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
shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as
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client’s assets without delay upon receivership by court order, in compliance with the following regulations: (1) The SEC Office shall proceed with the segregation and management of the client’s assets by
authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of
company shall proceed as follows: (1) The private fund which is not a provident fund shall comply with Clause 3(1), (2), (3) and (5) mutatis mutandis and the private fund management company shall report its
operating system which is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed