the service user’s confidentiality; (c) handling of the service user’s complaints; (d) sufficient management of information technology risk and cyber risk by giving an importance to information
/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. Every work areas
Annual Report 2009 1 Annual Report 20092 Over the past year, the Thai economy experienced a recession for the first time since the Asian economic crisis in 1997. The first quarter saw a 7.1 percent contraction as a result of sluggish export in the midst of global financial crisis, diminishing demand of domestic private sector, and lack of confidence in economic and political directions. All these factors played out against a backdrop of weakening economies of our trade partners worldwide, which...
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...
organization charged with receiving, retaining, and handling complaints from market participants and the public. The function should establish, maintain, document, and enforce policies, procedures, and controls
) receiving and managing complaints appropriately; (e) taking action against members who violate or fail to comply with standards and ethics regarding appraisal profession; 9 (f) organizing training courses
Office; (j) Systems for receiving and processing complaints of unitholders’; (k) In cases where the applicant for the registration of fund supervisor intends to appoint any person as a custody agent, such
) 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
) 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
; (9) dissolution of the mutual fund; (10) channels and methods for filing complaints, and dispute resolution by arbitration and the procedure for submitting a dispute to arbitration. Clause 10 Warnings