investor contacts who play vital roles in the capital market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This
for the 3rd quarter of Year 2018 and 2019 were 19.9% and 15.5%, respectively. This assumed that the Company could handle more effective at controlling employee’s remuneration, traveling expenses, and
assumed that the Company could handle more effective at controlling employee’s remuneration, traveling expenses, and infrastructure expenses. Financing Costs The financing costs of financial institutions
charge; otherwise, a civil lawsuit is an option. The SEC has no authority to handle a claim for compensation or proceed with a civil dispute. Should you need legal advice on such matters, please contact a
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of operation before and after
in the notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures
ผลิตภัณฑ์จากต่างประเทศที่สามารถให้บริการได้ หรือไม่ (unregulated product) หากผลิตภัณฑ์จากต่างประเทศอยู่ภายใต้การก ากับดูแล ของหน่วยงานตามที่ก าหนด แม้หน่วยงานต่างประเทศนั้น จะยกเว้นหลักเกณฑ์ในการควบคุมดูแล