) receiving and managing complaints appropriately; (e) taking action against members who violate or fail to comply with standards and ethics regarding appraisal profession; 9 (f) organizing training courses
Office; (j) Systems for receiving and processing complaints of unitholders’; (k) In cases where the applicant for the registration of fund supervisor intends to appoint any person as a custody agent, such
) Systems for receiving and processing complaints of unitholders’; 2(k) In cases where the applicant for the registration of fund supervisor intends to appoint any person as a custody agent, such applicant
; (9) dissolution of the mutual fund; (10) channels and methods for filing complaints, and dispute resolution by arbitration and the procedure for submitting a dispute to arbitration. Clause 10 Warnings
under the Securities and Exchange Act of B.E. 2535(1992); (5) a back office system; (6) an internal control system and a system for handling of complaints and dispute resolution. A back office system in
to how it is being implemented or enforced. 5.3 A CRA should establish and maintain a function within its organization charged with receiving, retaining, and handling complaints from market
) readiness of the service provider in case of providing services for many intermediaries ; (e) record of complaints or litigation in matters relating to the function to be outsourced; (f) relationship with
business reputations; (d) readiness of the service provider in case of providing services for many intermediaries; (e) record of complaints or litigation in matters relating to the function to be outsourced