such transaction is proceed by derivatives broker for client’s benefit. In cases where bank deposits or promissory notes in the first paragraph are pay-to-maturity, such bank deposits or promissory notes

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

ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference

the date of the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: (1) proceed to solve the problem described in the complaint rapidly

Translation (Unofficial Translation) (Translation) -9- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC

Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is

challenge has been made to the whole panel of arbitrators. If the challenge is not sucessful, the arbitral proceeding shall continue. However, the challenge or the withdraw of arbitrators shall not mean the

Translation (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot

ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

Translation (Unofficial Translation) (Translation) -8- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC