clients are able to bring a dispute into the arbitration procedures when they do not agree with complaint handling process made by securities and derivatives companies. The revision also includes abolishing
Chapter 8; (8) handling of complaints, as detailed in Chapter 9; (9) retention of information and documents, as detailed in Chapter 10; Part 4 The SEC Office’s Power Clause 5 In order for this Notification
regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4
) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4 and Clause 5 or Clause 6
efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company
securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an efficient complaint handling system for the settlement of dispute, such as act in
Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology
SEC’s procedures for handling reports of investment scams from the public and capital market stakeholders. From November 2023 to September 2024, an average of 381 cases were reported monthly. The SEC
. Sritham Ratchakaew, Nakhon Si Thammarat Deputy Governor. During the discussion, Ms. Archinee highlighted the SEC’s efforts in handling reports of investment scams from the public and capital market