efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company
securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an efficient complaint handling system for the settlement of dispute, such as act in
basis after the AGM meeting has been held. This postponement option is pursuant to the Notification of the Department of Business Development regarding Measures for Handling the Spread of COVID-19 in
. 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
)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch
Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch | - |- Outsourcing Services | - |- Joint Management Agreement / Other
operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch | - |- Outsourcing Services | - |- Joint Management
, and provide a client communication service system and complaint handling services sufficiently and efficiently. ______________________
the share price manipulation of Chai Watana Tannery Group PLC (CWT) by handling the trading orders of CWT shares for a group of persons. She also traded CWT shares for herself through Mr. Payut