handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings

of the risk management or allocation of IT resources in a year, etc.; (b) any progress of the IT project (if any); (c) any compliance with the regulations, rules or agreement made with external parties

services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing

communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC

complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress

. If the custodian receives a notification from its clients in order to switch to another custodian, the custodian shall hand over the assets to the other custodian within fifteen days. Clause 10. The

_________________________________________________________________________ 11. บริษัทท่านมีการดำเนินการเพื่อรักษาความปลอดภัยของอุปกรณ์ด้านสารสนเทศ ดังนี้ ( กำหนดแนวทางจัดวางและป้องกันอุปกรณ์เชื่อมต่อระบบเครือข่าย เช่น hub / switch รวมถึงการนำอุปกรณ์ดังกล่าวออกไปใช้งานนอก

securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of

and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit

the process of liquidation as deemed appropriate. The liquidator shall also submit to the Office a monthly report on the progress of liquidation until the liquidation is completed. The provision under