or conceal the truth that should be disclosed which cause deception to customer or may make them misunderstand in any material aspects. Clause 27. Derivatives broker shall arrange to have complaints
deception to customer or may make them misunderstand in any material aspects. Clause 27. Derivatives broker shall arrange to have complaints handling system, report of customer complaints and result of the
investment consultants who were in charge of this client for two consecutive periods of time, aided or abetted {A} in trading on behalf of the client as the client was not keen on investment and allowed Tanya
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...
Microsoft Word - OrKhorNor5-2549F.doc (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating...
of securities business, derivatives business or trustee business liable to be considered as deception or defrauding the public. Section 289 in conjunction with Section 90 Section 125 in conjunction
2033 9999 or e-mail: complaint@sec.or.th Facebook page for investor education “start-to-invest" and "Happy PVD" SEC and Investors Be Wary of Investment Fraud Investment Governance Code for
, effectiveness, transparency and fairness. This includes the safeguard measures against damage and fraud as well as procedures to ensure accuracy and reliability of SEC financial statements which shall be audited
companies; Ensuring fair treatment to shareholders of a takeover target company; Enforcing cases of corporate fraud; Supervising business operators to take care of investors with fair and reliability