. Revenue from services 172.7 185.6 -6.9% 2.1 Fully Outsourced Contact Center Management Service 114.2 133.4 -14.4% 2.2 Contact Center Facility Outsourced 1.2 5.6 -78.0% 2.3 Customer Service Representative
areas such as customer-asset custody and Know Your Customer (KYC) / Customer Due Diligence (CDD) criteria, etc. These efforts will keep an appropriate balance between development and supervision in the
opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy
marketing representative of private funds; “Customer solicitation” means soliciting of customer to enter into an agreement with a private fund management company by preparing investment plans for such
the private fund management company as marketing representative of private funds; “Customer solicitation” means soliciting of customer to enter into an agreement with a private fund management company
Commission Notification of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33
of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2
Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2) of the
เสนอขายกองทุนรวมที่ไม่เหมาะสมกับข้อมูลของผู้ลงทุน (customer profile) และไม่ได้อธิบายให้ผู้ลงทุนเข้าใจในกองทุนและความเสี่ยงของกองทุนที่เกินกว่าระดับที่ผู้ลงทุนยอมรับได้ก.ล.ต. ได้รับเรื่องร้องเรียนจาก