monitoring process and remediation plan. Looking ahead, the SEC will keep up the momentum of strengthening and developing stakeholders. In 2019, we will organize educating sessions on the impending financial
performance of their duties, as well as adequate measures to keep information of members and their clients confidential. Derivatives clearing houses shall disclose their regulations on good governance to the
2018 and 2019 were 18.9% and 17.6% , respectively. This assumed that the Company could handle more effective at controlling employee’s remuneration, traveling expenses, and infrastructure expenses
) 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
) 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
) 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
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
notifications that contain overlapping regulations with other notifications** and do not keep pace with changing situations. They are (1) the Notification of the Office of the Securities and Exchange Commission
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 assets which remained under control or in possession of