allow asset management companies to use own discretion in handling such fund transfer more flexibly while maintaining tax benefits for investors of such funds on a continuing basis.The key points of
guidelines focus on four key areas, namely PF management, work systems, investment management and complaint handling. The objective is to facilitate flexibility and adjustment in line with the diverse nature
amendments to the handling of conflicts of interest rules to improve efficiency of the securities offering process, which include preventive measures and disclosure measures to support investors
, such as notifications regarding handling of complaints or maintenance of capital/financial status.SEC welcomes and will take into consideration more public comments which may be related to
this regard, SEC has included the Notification of the Department of Business Development regarding Measures for Handling the Spread of COVID-19 in Case of Possible Impact on the Holding of Juristic
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
Technology (1999) Plc. (PRO) to make incorrect and inaccurate accounting records from Q2/2006 to Q1/2009 concerning loans to other parties, investment in aluminum processing project, and the purchase of
processing;(5) Have a data protection and governance;(6) Disclose the scope and limitations of services to the investors. SEC publishes the public hearing document on this issue at SEC website
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and