) 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
detailed in Chapter 5; (5) business continuity management and security of information technology systems, as detailed in Chapter 6; (6) outsourcing of services, as detailed in Chapter 7; (7) handling of
processing;(5) Have a data protection and governance;(6) Disclose the scope and limitations of services to the investors. SEC publishes the public hearing document on this issue at SEC website
Technology (1999) Plc. (PRO) to make incorrect and inaccurate accounting records from Q2/2006 to Q1/2009 concerning loans to other parties, investment in aluminum processing project, and the purchase of
) |- Branch Offices / Representative Offices (Section 92, 93) | - |- Branches (Section 92) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information
) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration |- Appeal |- Others | - |- Public
) | - |- Branches (Section 92) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration
Governor. During the discussion, Ms. Rattaya outlined the SEC’s procedures for handling reports of investment scams from the public and capital market stakeholders. She also emphasized the collaboration
discussion, Ms. Archinee highlighted the SEC’s effort in handling reports of investment scams from the public and capital market organizations. She also highlighted the collaboration between the SEC and social