under the Securities and Exchange Act of B.E. 2535(1992); (5) a back office system; (6) an internal control system and a system for handling of complaints and dispute resolution. A back office system in
กำหนดค่าตอบแทน วิธีการจ่ายค่าตอบแทน (อธิบาย) ปัจจัยที่ใช้ในการพิจารณาจ่ายค่าตอบแทน มาตรการที่ใช้ในการควบคุมเพื่อมิให้เกิดการ mis-selling ต่อลูกค้า [6] ระบบการจัดการเรื่องร้องเรียน (Complaints Handling
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
to how it is being implemented or enforced. 5.3 A CRA should establish and maintain a function within its organization charged with receiving, retaining, and handling complaints from market
) readiness of the service provider in case of providing services for many intermediaries ; (e) record of complaints or litigation in matters relating to the function to be outsourced; (f) relationship with
business reputations; (d) readiness of the service provider in case of providing services for many intermediaries; (e) record of complaints or litigation in matters relating to the function to be outsourced
business reputations; (d) readiness of the service provider in case of providing services for many intermediaries; (e) record of complaints or litigation in matters relating to the function to be outsourced
Debt Instruments (No. 9) dated 2 May 2006. (Unofficial Translation) Page 9 of 12 Consideration of complaints and rule of practice for employees Clause 23.28 Repealed. Clause 24. 29 A securities company
Securities Brokerage and Securities Dealing which are not Debt Instruments (No. 9) dated 2 May 2006. (Unofficial Translation) Page 9 of 12 Consideration of complaints and rule of practice for employees Clause
sufficient and efficient work system; (c) expertise, experience and business reputations; (d) readiness of the service provider in case of providing services to many intermediaries ; (e) record of complaints