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
systems related to receiving and handling complaints, channels to communicate with customers as well as the number and ability of personnel for Bitkub to operate its business efficiently. DAB Act S.30
basis after the AGM meeting has been held. This postponement option is pursuant to the Notification of the Department of Business Development regarding Measures for Handling the Spread of COVID-19 in
effective handling of complaints and disputes arising from trading services with respect to derivatives, or from use of its services, by taking at least the following actions: (1) set out written rules on
detailed in Chapter 5; (5) business continuity management and security of information technology systems, as detailed in Chapter 6; (6) outsourcing of services, as detailed in Chapter 7; (7) handling of
, and provide a client communication service system and complaint handling services sufficiently and efficiently. ______________________
the share price manipulation of Chai Watana Tannery Group PLC (CWT) by handling the trading orders of CWT shares for a group of persons. She also traded CWT shares for herself through Mr. Payut
ambitious SLB; they aid investors by promoting accountability of issuers in their sustainability strategy and availability of information necessary to evaluate their SLB investments; and they assist
> Complaints / Whistleblowers > Complaint Handling Procedure Contact us SHARE : Detail Content SEC Complaint Center Complaint Handling Procedure How to file a complaint: Please provide
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the