the reasons why such qualifications cannot be maintained within the next business day following the date when such qualifications fail to be maintained and when such qualifications are regained, such
reasons why such qualifications cannot be maintained within the next business day following the date when such qualifications fail to be maintained and when such qualifications are regained, such registered
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
as the "Hot Line" to handle public inquiries in certain circumstances. In 2007, the SEC Help Center received 2,219 inquiries and 378 complaints. The most frequent issues of complaint were those in
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
with the situation. And able to handle various situations the company expected that the overall situation in the second half of this year will be better than the first half. The company has 12 projects