) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration |- Appeal |- Others | - |- Public
) | - |- Branches (Section 92) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration
consideration on persons entitled to apply for bounty, procedures and instructions for filing an application and bounty payment as well as handling of unclaimed bounty, for example. Nevertheless, commission or
allow asset management companies to use own discretion in handling such fund transfer more flexibly while maintaining tax benefits for investors of such funds on a continuing basis.The key points of
guidelines focus on four key areas, namely PF management, work systems, investment management and complaint handling. The objective is to facilitate flexibility and adjustment in line with the diverse nature
amendments to the handling of conflicts of interest rules to improve efficiency of the securities offering process, which include preventive measures and disclosure measures to support investors
, such as notifications regarding handling of complaints or maintenance of capital/financial status.SEC welcomes and will take into consideration more public comments which may be related to
this regard, SEC has included the Notification of the Department of Business Development regarding Measures for Handling the Spread of COVID-19 in Case of Possible Impact on the Holding of Juristic
communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management
under the SEC Responsibility Complaint Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower SHARE : For More Information ContactUs SEC Complaint