handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings

: Name/Position (at least CEO or equivalent): ____________________________________ Email address: ___________________________________________________________ Tel No.: _____________________________ Fax No

person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to

: ______________________________________________________ 14) Details of contact person at the CIS Operator : Name/Position (at least CEO or equivalent): ___________________________________ Email address

services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing

communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC

: Name/Position (at least CEO or equivalent): ___________________________________ Email address: ___________________________________________________________ Tel No.: _____________________________ Fax No

Company’s contact person: Name/Position (at least CEO or equivalent): ___________________________________ Email address: ___________________________________________________________ Tel No

แพร่ไปแล้ว โดยคู่มือดังกล่าวส่วนหนึ่งกำหนดว่า ประธานกรรมการและผู้มีอำนาจสูงสุดของฝ่ายจัดการ (CEO in practice) ไม่ควรเป็น คนเดียวกัน สำนักงานจึงใคร่ขอความร่วมมือให้บริษัทหลักทรัพย์และตัวแทนซื้อขายสัญญาฯ

complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress