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
system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure
asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from
sometime, it shall control strictly namely determine the computer centre officer monitor the compliance all the time. [M] · Providing record system for entering the computer centre and such record shall
effectively with Notification of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business, dated 8 March 2006 and to have the
order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the Capital Market Supervisory Board shall have the power to specify in its
securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
deemed appropriate. 7. Corporate governance structure and significant information related to the Board of Directors, subcommitees, executives, employees and others 7.1 Corporate Goverance Structure Display
of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of
form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008