securities companies to communicate with investors and strictly prohibit their personnel from involving in the said misconduct in order to diminish channel for fraud or embezzlement related to investors
creation and dissemination of investment scam alerts via various channels of the SEC and news media outlets. The SEC receives support from both public and private sectors to effectively communicate these
operational approach understandable and practicable on what, when and where to work. 5.2 Methods and channels to communicate among relevant persons either inside or outside companies Companies shall determine
communicate among relevant persons either inside or outside companies Companies shall determine methods and channels for communication, a list of relevant persons either inside or outside companies, responsible
, the world has drastically changed with the advent of the internet revolutionising the way we interact and communicate. New communications technology and the proliferation of social media in particular
preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such policy, and shall communicate the policy thoroughly in order to
Operating System for Communication with and Providing Services to Clients ___________________ Clause 5/1 To communicate with and provide services to clients under Clause 12(3/1) and Clause 25/1 of the
System for Communication with and Providing Services to Clients ___________________ Clause 5/1 To communicate with and provide services to clients under Clause 12(3/1) and Clause 25/1 of the Notification
stationed at the office of the securities company where the communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company ’s