major areas, namely (1) improvement of business operation in such areas as data storage system, management system, custody of clients’ assets and sale promotion advertising, (2) reporting of duty
complainants, namely (1) the initial clarification and related documents gathering phase, (2) the case consideration phase, and (3) legal proceedings phase. This complaint handling improvement aims to give more
have opportunities for further improvement especially on the board responsibilities conforming to the best practice guidelines. The SEC together with The Stock Exchange of Thailand, Thai Institute of
improvement SEC Classification : ใชภ้ายใน (Internal) Comments for Potential Improvements Is loss-chasing behaviour (always) irrational behaviour? What if taking more risk, as measured by portfolio
year. The score improvement reflects the SEC’s operating enhancements in various areas as well as preventive measures against corruption. The SEC has received excellent results in the CRMS Assessment
improvement. Compared to the prior quarter, the figures edged higher in line with increased brokerage fees from securities business, bancassurance fees and management fees. NPLs to total loans edged up slightly
– when combined with the amount paid to the Financial Institutions Development Fund in compliance with this law, the Deposit Protection Agency and the Bank of Thailand as required by the law on improvement
Service: the end-to-end service to provide advice to companies and listed companies regarding fund-raising and regulatory compliance. Currently, they are required to contact two organizations when they want
, especially those products for which the investment consultants receive high sales commissions or want to boost sales volume. Moreover, there was a lack of persons to monitor their investment after the
or possession to other wallets which are not purported to keep client’s assets servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital