) 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
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
enhance trustworthiness as well as efficiency and competitiveness of intermediaries and the overall market. The three-year strategic plan gives more weight to practical rules and regulations developed from
would facilitate the identity proofing and authentication process, which is the first step towards easy and quick but with trustworthiness financial transactions. For the capital market, the NDID
fundamental development of ecosystem in the Thai capital market to enhance trustworthiness as well as efficiency and competitiveness of intermediaries and the overall market. The three-year strategic plan gives
quality in the Thai capital market in line with international standards to increase transparency in auditor supervision and trustworthiness of listed companies? financial reporting. In term of international