audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the

Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of

where the claimant does not make correction or addition within such period of time, it shall be deemed that the claimant no longer intends to proceed the arbitral process and the Office shall terminate

giving rise to damage to the reputation or the financial condition or the business operation or the customers of such business. Clause 5. In applying for an approval to act as a mutual fund manager, the

proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An

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

shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as

client’s assets without delay upon receivership by court order, in compliance with the following regulations: (1) The SEC Office shall proceed with the segregation and management of the client’s assets by

authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of

company shall proceed as follows: (1) The private fund which is not a provident fund shall comply with Clause 3(1), (2), (3) and (5) mutatis mutandis and the private fund management company shall report its