ก.ล.ต. ร่วมกับตลาดหลักทรัพย์แห่งประเทศไทย (ตลท.) จัดงานสัมมนา ?การดำเนินคดีแบบกลุ่ม? หรือ class action ให้ผู้เกี่ยวข้องในตลาดทุนทราบถึงสาระสำคัญและกระบวนการที่เกี่ยวข้อง บรรยายโดย นายพงษ์เดช วานิช
. The risk management policies should support identification and prioritisation of early warning signals of material risks. The risk management policies should be reviewed regularly, such as annually
negotiation on securities investment with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such
with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such complaint has not yet been
with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such complaint has not yet been
documents or evidence related to the commission of offences under the provisions of this Emergency Decree for the purpose of inspection or taking legal action; (4) order a director, officer, employee or
commission of offences under the provisions of this Emergency Decree for the purpose of inspection or taking legal action; (4) order a director, officer, employee or auditor of the special purpose juristic
business, which also reduces redundant identification processes. As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management