to provide investors with quality and standard services from business operators.The regulations will require business operators to provide personnel, communication system, customer service system
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
Currently, investors are usually required to provide a lot of information each time they request services from an intermediary and must repeat the process via different forms when using services of
Bangkok, October 30, 2012 ? The SEC requires advertisement on marketing campaign for selling mutual fund investment units clearly provide the fund?s information and avoid giving too much information
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
business operation vaguely. As a result, Finnomena shall not provide business continuously. Moreover, Finnomena did not notify outsourcing function to the SEC Office. SEC Act S.113 Settlement Committee
information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113
but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public
Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed