alleged offenders to hear the charges. In addition, there was media coverage on complaints relating to the establishment of BTS Rail Mass Transit Growth Infrastructure Fund (BTSGIF) currently in the process
PT Millennium Penata Futures, and Kasemsak Sirisrisornchai, a director of J.R.A. Business Center Ltd. This follows complaints indicating that the aforesaid firms represented themselves to the general
punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to
) establishing an efficient management system for handling complaints or disputes in connection with provision of services as securities registrar; (6) facilitating the examination of the securities register for
Investor Alert สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 14 January 2025 21:19 In response to a number of tips and complaints about fraudulent solicitation of unauthorized
relation to the customer complaint, specifying solvable and unsolvable complaints by category and filing the report to the Office, on a quarter basis, within fifteen days from the end of a quarter. (5
Supervisory Board TorThor/Khor/Dor/Nor. 62/2552 Determination for Securities Companies to Proceed with Customer Complaints 03/08/2009 01/09/2009 9. Notification of Capital Market Supervisory Board 63/2552
. 62/2552 Determination for Securities Companies to Proceed with Customer Complaints 03/08/2009 01/09/2009 6. Notification of Capital Market Supervisory Board 63/2552 Rules, Conditions and Procedures