) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
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
sole proprietor, please state the arrangements made to conduct an EQCR 11 Has the firm established policies and procedures setting out the criteria by which all other audits and reviews of historical
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
) .............................................., telephone: ........................ , facsimile:............................... If the Audit Firm does not incorporate and not operate as a sole entity, please specify the name and address of its network firm
shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the performance of the management company itself
shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the performance of the management company itself
, revaluation surplus (deficit) in investment, it shall separate surplus (deficit) categories of each its categories. Financial statement of the sole company (Unit:Baht) Ordinary share Stocks right and warrants/1
the trust instrument appoints a sole trustee or several trustees and specifies each trustee to separately manages the trust property, if there is a cause to alter the trustee but the new trustee has not