securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from

appropriate consultation took place for difficult or contentious matters? If yes, Please describe the policies and procedures. If no, How does the firm ensure that the difficult or contentious matters have been

ละเอียดลูกหนี้ที่มีปัญหา (problem loans) ทั้งบัญชี cash และ margin 5.1 มูลหนี้รวม ............................................. ล้านบาท 5.2 จำนวนราย .............................................. ราย 5.3

accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the

evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or

operational system; · determine the event or priority of violent of problem ; · determine for solving the problem in detail; · determine the responsible officer and authorize person and having name list and

facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the Thai capital market; (4) having readiness for participating in the regulatory sandbox in the following

innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the Thai capital market; (2) having readiness for participating in a

cause damage, or not having any behavior which indicates an ongoing financial problem, including having no reasonable ground to believe that there is a shortcoming or unsuitability encompassing business

4.8 Conditions for termination of agreement e.g. where the delegatee has not perform in accordance with the rules, where the performance is unsatisfactory or where there occurs financial problem. 4.9