rules: (1) having a procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to
. 4.2 Having a system for handling clients’ complaints and dispute resolution efficiently, for instance, compliance with the Notification of the Capital Market Supervisory Board concerning Rules on Duty
instruments. The factsheet requirement should increase issuers? awareness of their disclosure responsibility. It is one of many measures for supporting launch of complex products and development of financial
warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
(2) Mr. Chatnarong Chattrabhuti and (3) Maj. Gen. Boonlert Jangnopparat have the duty to convene a shareholders meeting to elect new directors in accordance with Section 83 of the Public Limited
Bangkok, September 11, 2014 ?The SEC is seeking public comment on draft regulations on termination of listed company?s duty to disclose information under Section 56 and duty of directors and
Thai Bond Market Association. Clause 8 In selling structured notes to public in accordance with Part 2, the Company that has obtained the approval shall have the duty to also comply with the Notification
Perform Duty of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} and {B} from performing duties of investment consultant for six months. Taking into