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
investors’ rights. For example, having personnel readiness and work systems related to duty performance and establishing preventive measures and effective handling of conflicts of interest; (4
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https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-digital.docx translate-spv.docx incurred in the actual handling of the matters shall be taken into consideration without the principal
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