) 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
sector agreed that progress in technology has played an important role in causing businesses to adapt and prepare to handle the expectations of investors in accuracy, speed of service and the need to
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
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
-incompetent person; (2) I am a person not eligible to serve as director, manager, person with managerial authority or advisor of financial institution because of the possession of prohibited characteristics
าเปนผูที่เขาใจและยึดม่ันในประมวลจริยธรรมสำนักงาน ก.ล.ต. สำหรับผูฏิบัติงานและจรรยาบรรณพนักงาน 4) การประเมินเพื่อทดสอบความพรอมในงานบริหาร (Managerial Readiness Test Results) ซึ่งมีองคประกอบเรื่อง
personnel for two years, starting from 14 September 2016. During the suspension period, {A} is not allowed to work in the managerial or advisory areas in the company, nor could he perform any other duties as
featured stylized flames in red and white. (H including handle 18 cm) S h a p i n g t h e T h a i C a p i ta l M a r k e t Securities and Exchange Commission, Thailand 04 Message from the Chairman 06 Message