useful for clients , investors , company or shareholders as a whole, [or] money market or capital market as a whole, or [ii] amendment, remedy or prevention against repetition of such similar facts or

, or [ii] amendment, remedy or prevention against repetition of such similar facts or demeanors; (5) other demeanors of the person under deliberation which benefit or impede the proceeding of the SEC

(Translation) PAGE 20 (Unofficial Translation) The Trust for Transactions in Capital Market Act( B.E. 2550 (2007) ________________ BHUMIBOL ADULYADEJ, REX., Given on the 30th Day of December B.E. 2550; Being the 62nd Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the trust for transactions in the capital market; Whereas this Act contains certain provisions relating to the restriction of rights and l...

through an agent who is not able to reach a satisfactory solution of the customer; (3) record the complaint in (1) from the customer in writing with the customer’s signature for certification prior to the

each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to

date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the

various permanent operation and such log book should have a following detail: [A] · Operator · Operational time · Operational Detail · Occurred problem and solution · Position of system · Supervisor 2

each including respective solution guidelines. 2.4 Under-construction projects Only in case of high-value, time-consuming projects or assignments such as building or ship construction projects, disclose

during the past three years have complied with the law. In case of disputes or legal complaints on environmental issues, specify the details of each, including respective solution guidelines. 2.2.4 Under

encryption of information transmitted through computer network system, the prevention of distributed denial of service (DDoS) attack, the intrusion from malware, the protection against threats advanced