Precaution

Precaution- SCBS

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Roles and responsibilities of business units under SCB Securities Co., Ltd.

Equities Group (Front Office)

Equities Group takes buy order, sell order from clients via phone or document. Client can place order either through your assigned Account Officer or by yourself via internet trading system, which you can contact E-Business for more detail at 0-2949-1234.

Operations Group (Back Office)

-    Settlement Department

Responsible for sending Confirmation Notes, collecting and/or paying proceeds from sale of securities, sending receipts and payment vouchers to clients, receipt and/or transfer securities, collateral to and/or from clients, and sending Statement of Securities/ Cash Accounts to clients who have Cash and/or Credit Balance account with the company. Contact number: 0-2949-1202-5, 1209, 1212   Fax. 0-2949-1207

-    Operation Client Services Department

Responsible for maintaining client information from account opening in the system, notification of account opening, request for bank ATS service, updating client information by client request. Contact number: 0-2949-1261, 1267, 1269   Fax. 0-2949-1207

-    Risk Management Department

Responsible for risk management of the company, In terms of credit risk management, the Department will consider credit line and seek for credit line approval. Contact number: 0-2949-1250, 1247    

-    Compliance Department

Responsible for monitor and oversee Front Office and Back Office operations to be in compliance with SEC and Company’s regulations, including collecting and investigating client complaints. Contact number: 0-2949-1222