Securities Companies. 7. Mrs. Dayana Bunnag Expert member She obtained a B.A. in Economics (Honors) from Thammasat University, Thailand, and an MBA from University of Texas at Austin, USA. She was Managing
disclosed. • Name of the asset management company managing the master fund (if any) • Investment management strategy such as: − aiming to achieve performance by tracking the benchmarks (passive management
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
of business contingency management, IT security, operational outsourcing and complaint handling. In addition, all but future exchange would be required to comply with new rules on organizational
Mr. Palits Phanpanit Mr. Palits Phanpanit, managing director, responsible for the operation of Yarnapund Public Company Limited (“YNP”), shall be liable for YNP’s failure to prepare and submit the