provision of services to clients shall be supervised in accordance with the work system laid out by the intermediary. Clause 26 For the communication with or providing services to a new client, an
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
operating result – Relative to last year quarter’s, Loss Ratio had dropped by 8.64% (From 67.87% to 59.23%). Underwriting had been more selective. Sales associated with high risk clients had been monitored
the Personal Data Protection Commission, and the Cyber Crime Investigation Bureau, who provided insights and monitored the exercise.Mrs. Pornanong Budsaratragoon, SEC Secretary-GeneralMr. Pichet Sithi
make without using inside information.SEC Secretary-General Thirachai Phuvanatnaranubala said, ?Trading of listed securities has been regularly monitored by state of the art surveillance system of the
proceed outsourced function; (3) the function which may be outsourced to another intermediary shall not be a specific matter or a matter specified by law or regulation to be operated by the intermediary
in case another intermediary fails to proceed outsourced function; (3) the function which may be outsourced to another intermediary shall not be a specific matter or a matter specified by law or