Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting
. In this Notification, “ electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities https://publish.sec.or.th/nrs/3890pe.doc
on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process
securities and derivatives business. Accordingly, investors will be protected in that their investment money will be segregated from that of the business operators while investments will be handled and
securities and derivatives business. Accordingly, investors will be protected in that their investment money will be segregated from that of the business operators while investments will be handled and
malpractices of any SEC official, you can lodge a complaint together with relevant facts and evidence via the cahnnels below (24 hours everyday). The complaint will be handled by a special committee to ensure
with talents. However, some audit firms dealt with this problem by hiring a great number of temporary or outsourced staff whose roles and responsibilities were the same as their permanent counterparts
ตลาดหลักทรัพย์ including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through
complaint together with relevant facts and evidence via the cahnnels below (24 hours everyday). The complaint will be handled by a special committee to ensure transparency and fairness. HR Director Tel/Fax
of this amendment is to ensure that customer complaints are handled appropriately, especially in the case where the operator failed to comply with relevant regulations. It also aims to ensure that