) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
which are not purported to keep client’s assets servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or
documents periodically or from time to time, within a time period specified by the SEC Office, provided that this requirement does not cause unreasonable burden to securities clearing houses and central
private fund management company, the ratio of the shareholders’ equity presented in the latest audited financial statement is not less than that specified in the Notification of the Securities and Exchange
inspection; 5. Complaints with other agencies, i.e., please specify whether or not you have filed a complaint / tip regarding the same matter with other agencies, for instance, the Office of the Consumer
an electronic transaction and applying FinTech to business operation are still a challenge in Thailand mostly because the governing laws are inconsistent with the ever-advancing technologies and do not
Office. It is important to note that this is an unofficial English translation which has not been subjected to an official review by the SEC Office. Readers should be aware that only the original Thai text
to note that this is an unofficial English translation which has not been subjected to an official review by the SEC Office. Readers should be aware that only the original Thai text has legal force and
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________