handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related personnel of the policies and the practices as well as a procedure for continuous
instruments; (7) The determination of guideline for complaint acceptance and handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related
Handbooks / Best Practices SHARE : Detail Content Fund Raising FORM 56-1 : Annual Registration Statement Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations
company shall not undertake the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
Picnic Corporation Public Company Limited Picnic Corporation Public Company Limited (PICNI), a securities issuer which is proceeding the rehabilitation procedure under the Bankruptcy Law and is
Customer Due Diligence : KYC/CDD procedure. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 178/2022 Dated 11/11/2022
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113