Chapter 8; (8) handling of complaints, as detailed in Chapter 9; (9) retention of information and documents, as detailed in Chapter 10; Part 4 The SEC Office’s Power Clause 5 In order for this Notification
E_1 Legal_FA_2015_12_29-c A CorpL4.1hig A Executive Summary of Management Discussion and Analysis 1 For the Year Ending December 31, 2019 Thai economy in 2019 showed decelerating growth at 2.4 percent compared to 4.2 percent in the previous year.The slowdown could be attributed to exports which contracted further due to the stronger Baht and a global economic slowdown. In addition, the investment environment of both the public and private sector remained weak, and private consumption, albeit gro...
processing facility)” หมายถึง อุปกรณ์ ระบบงาน หรือสภาพแวดลอ้ม ท่ีจ าเป็นหรือ มีส่วนช่วยใหก้ารประมวลผลขอ้มูลเป็นไปอยา่งครบถว้น ถูกตอ้ง และมีประสิทธิภาพ เช่น อุปกรณ์หรือโปรแกรม ประมวลผลขอ้มูล ระบบเครือข่าย
complaint handling system in relation to securities business undertaken by the securities company, its employee or its agent; (2) receive a complaint in (1) from a customer and complaint from a customer
representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer complaint handling
) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration |- Appeal |- Others | - |- Public
)) | - |- Securities Businesses (Section 108) |- Branch Offices / Representative Offices (Section 92, 93) | - |- Branches (Section 92) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling
) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration |- Appeal |- Others | - |- Public Holidays (Section 110) | - |- Segregation of
อสารและการให้ความรู้แก่คนขาย (Communication and Training Program) (4) กระบวนการขาย (Sales Process) (5) การกำหนดวิธีจ่ายค่าตอบแทน (Remuneration Structure) (6) การจัดการเรื่องรอ้งเรียน (Complaint Handling