procedures and processes to resolve the issues, and lists of contact persons and the communication channels, etc.; (8) define the level of security for each type of data to be used in the cloud service by

of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

state the resources available. If no, How does the firm deal with this situation? Do the firm have technical panel to resolve and give consultations related to Accounting and auditing issues? If yes

dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve the dispute by the

(display) ไว้เป็นเวลา ไม่น้อยกว่าห้าวินาที ข้อ 11 ในกรณีที่บริษัทหลักทรัพย์ตั้งบุคคลใดเป็นตัวแทนเพื่อทำหน้าที่จำหน่าย หน่วยลงทุน ตัวแทนเพื่อทำหน้าที่สนับสนุนการจำหน่ายหรือรับซื้อคืนหน่วยลงทุน หรือมอบหมายให้

securities holders directly, not general risks on business undertaking or investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 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 undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...

examine and shall keep the said record for at least five years from the date of the account opening. Clause 26. In the services of derivatives broker, derivatives broker shall not display false statements

account. Clause 29 In providing derivatives brokerage services, the derivatives broker shall not display any false statements or conceal any facts which should be disclosed in such a manner that may deceive

person who has power to instruct the order for securities possesses an account with the securities company; (2) delivering a copy of monthly securities trading report which display transaction of