/Public task basis Consideration of complaints, inspection, investigation, enquiries, administrative acts, and any act under the jurisdiction of the SEC Office in compliance with the law. Every work areas
organization charged with receiving, retaining, and handling complaints from market participants and the public. The function should establish, maintain, document, and enforce policies, procedures, and controls
) 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