business day in the amount not less than fifteen million Baht and not less than seven percent of the general liabilities except in case of (2) or (3) (2) securities company which also operates as the

time objectives) and set a recovery order of every critical business function suitable for possible impacts. 4.2 Companies should consider to determine a data class and latest data set to recover

customer within seven days from the date the derivatives broker completes its consideration of the customer complaint; (3) notifying the customer to acknowledge the rights to propose the complaint to be

Office has submitted the claimant’s selected list of three arbitrators to the respondent, the respondent shall select one arbitrator from the list and notify the Office within seven days from the date on

supervisor within seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office

. (3) once the case of the complaint is deemed final, the securities company shall inform the results of solutions to the complaint to the customer within seven days from the date when the complaint case

than 0.5 percent of the correct unit price, the management company shall prepare and submit a report on the error in the unit price to the fund supervisor within seven business days from the date the

seven million baht or more in case of excluding the annual income of the spouse’s; (c) having direct investment in securities or derivatives in the amount of not less than twenty-five million baht, or not

within seven days from the date on which the securities company knows or is plausibly aware of the prohibited characteristics of such executive. Clause 7. The provision in Clause 3(1)(b) shall not apply to

ratio] of not less than seven percent of the general liabilities and collateral at the end of any business day. The calculation of the net capital [and net capital ratio] under Paragraph 1 shall be in