urgency.Regarding prosecution of wrongdoers under the Securities and Exchange Act, the SEC said it has received many complaints, adding that progress is made on many fronts, but the investigations are on-going. If
The allegation is a consequence of various complaints lodged in relation to the increased debt of THB 26,000 million following EARTH’s submission of the financial statement for the first quarter
Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders
amount of 7,176,748,441 shares. The Extraordinary General Shareholder Meeting will be held on 19 January 2024. In this regard, the SEC has received complaints about MORE’s disclosure of information in the
. 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
effective handling of complaints and disputes arising from trading services with respect to derivatives, or from use of its services, by taking at least the following actions: (1) set out written rules on
compliance with applicable law and standards. Principle 6.5 The board should establish a mechanism for handling complaints and whistleblowing. Guidelines 6.5.1 The board should oversee that an effective
Policy for Business Operators Privacy Policy for Trading in Secondary Market Privacy Policy for Internal Administration (website) Complaints and Information Personal data that the SEC Office collects
Chapter 8; (8) handling of complaints, as detailed in Chapter 9; (9) retention of information and documents, as detailed in Chapter 10; Part 4 The SEC Office’s Power Clause 5 In order for this Notification
/2009 10. Notification of Capital Market Supervisory Board TorThor/Khor/Dor/Nor. 62/2552 Determination for Securities Companies to Proceed with Customer Complaints 03/08/2009 01/09/2009 11