) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration

) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration

) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration

turn to share knowledge and experience relating to the setting up of similar funds in their respective countries and how to handle investor complaints and manage disputes. During the panel discussion

governance;(6)      Disclose scope https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8654 SEC urges business operators to make necessary preparations to handle COVID-19 situation SEC requests that business

กรอบเชิงจริยธรรมและจรรยาบรรณ (code of conduct and code of ethics) 3 ทั้งน้ี แนวทางธรรมาภิบาลของ ก.ล.ต. ไดมี้การทบทวนหลกัการและแนวปฏิบติัใหเ้ป็นปัจจุบนัสอดคลอ้งกบั พระราชบญัญติัหลกัทรัพยแ์ละตลาดหล

planning, tax and ethics) and Module 2 (investment planning), curriculum recognized by the SEC Office, or any others under remark1. In case of passing CFP Module 1 and Module 2, the 2-year result validation

for capital market transaction, an appraisal company in capital market and a lead appraiser shall perform duties in accordance with standards and ethics regarding appraisal profession and with

firm considers as high risk? Please describe the relevant responses to these risks 2 Does the firm consider all ethical requirements outlined in the Code of Ethics during the risk assessment process for

conditions to handle potential risks and liabilities from duty performance, for example, in case of loss of clients’ assets.  SEC Secretary-General Ruenvadee Suwanmongkol said: “Technology is key to digital