) 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
, insightfulness, collaboration and integrity. Market participants and stakeholders can rest assured that the SEC will move forward with all sectors to achieve the goals set forth in the strategic plan and the
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
SEC will continue to develop the capital market by exercising our core value of openness, insightfulness, collaboration and integrity. Market participants and stakeholders can rest assured that the SEC
} assured his colleague that it was the client’s decision. Therefore, the transaction had been executed. However, when the authorization documents were brought to the client for signature, the client
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
has reduced proportionately to the loss of Asia and Poland from the group. These re-baselined figures have been independently assured by KPMG in December 2020. We have surpassed our first emission