or materially mislead the clients. Clause 30 The derivatives broker shall put in place a system for handling client complaints, reporting client complaints, and results of the consideration of client
place a system for handling client complaints, reporting client complaints, and results of the consideration of client complaints, in accordance with the criteria prescribed and notified by the SEC Office
place a system for handling client complaints, reporting client complaints, and results of the consideration of client complaints, in accordance with the criteria prescribed and notified by the SEC Office
protection to fund members by introducing such concepts as segregation of assets, suitable investment ratio, valuation of assets, and complaints handling process by professional fund managers. Another
Complaints of Clients dated 3 August 2009; (2) The Notification of the Capital Market Supervisory Board No. Tor Thor. 63/2552 Re; Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which
: Clients and traders. Public task basis Consideration of complaints, inspection, investigation, enquiries, administrative acts, and any act under the jurisdiction of the SEC Office in compliance with the law
transactions and complaints to prevent unfair practices and protect the rights of investors. The SEC encourages the corporate governance and social responsibility of listed companies through various measures
transactions and complaints to prevent unfair practices and protect the rights of investors. The SEC encourages the corporate governance and social responsibility of listed companies through various measures
guidelines cover the key areas of risk management, internal control, code of conduct, conflicts-of-interest management, handling of complaints against the SEC's staff, communication with stakeholders and
Securities and Exchange Commission concerning Maintaining Net Capital. 5 (2) having a system for handling client’s complaints and dispute resolution efficiently, for instance the compliance according to the