securities issuing company or listed company under the SEA.In addition, the SEC is examining other issues of public and stakeholders? complaints regarding whether the duty performance of current and former
investment consultant, the SEC received complaints from several clients of Bualuang Securities Public Company Limited and conducted further investigation which revealed that {A}, a capital market investment
. Network Co., Ltd., and (4) Pat Thamma, director of P.T. Research Co., Ltd., on account of operating derivatives business without license. The SEC received complaints indicating that the aforesaid five firms
. 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
effective handling of complaints and disputes arising from trading services with respect to derivatives, or from use of its services, by taking at least the following actions: (1) set out written rules on
Chapter 8; (8) handling of complaints, as detailed in Chapter 9; (9) retention of information and documents, as detailed in Chapter 10; Part 4 The SEC Office’s Power Clause 5 In order for this Notification
/2009 10. Notification of Capital Market Supervisory Board TorThor/Khor/Dor/Nor. 62/2552 Determination for Securities Companies to Proceed with Customer Complaints 03/08/2009 01/09/2009 11
Supervisory Board TorThor/Khor/Dor/Nor. 62/2552 Determination for Securities Companies to Proceed with Customer Complaints 03/08/2009 01/09/2009 11. Notification of Capital Market Supervisory Board TorKhor
/2556 15/02/2013 01/04/2013 11. Notification of Capital Market Supervisory Board TorThor/Khor/Dor/Nor. 62/2552 Determination for Securities Companies to Proceed with Customer Complaints 03/08/2009
, the Ministry of Digital Economy and Society, in issuing public warning releases; (3) Filing criminal complaints with the authority regarding investment scams specifically in the cases of