; (9) dissolution of the mutual fund; (10) channels and methods for filing complaints, and dispute resolution by arbitration and the procedure for submitting a dispute to arbitration. Clause 10 Warnings
under the Securities and Exchange Act of B.E. 2535(1992); (5) a back office system; (6) an internal control system and a system for handling of complaints and dispute resolution. A back office system in
to how it is being implemented or enforced. 5.3 A CRA should establish and maintain a function within its organization charged with receiving, retaining, and handling complaints from market
) readiness of the service provider in case of providing services for many intermediaries ; (e) record of complaints or litigation in matters relating to the function to be outsourced; (f) relationship with
business reputations; (d) readiness of the service provider in case of providing services for many intermediaries; (e) record of complaints or litigation in matters relating to the function to be outsourced
Debt Instruments (No. 9) dated 2 May 2006. (Unofficial Translation) Page 9 of 12 Consideration of complaints and rule of practice for employees Clause 23.28 Repealed. Clause 24. 29 A securities company
Securities Brokerage and Securities Dealing which are not Debt Instruments (No. 9) dated 2 May 2006. (Unofficial Translation) Page 9 of 12 Consideration of complaints and rule of practice for employees Clause
sufficient and efficient work system; (c) expertise, experience and business reputations; (d) readiness of the service provider in case of providing services to many intermediaries ; (e) record of complaints
sufficient and efficient work system; (c) expertise, experience and business reputations; (d) readiness of the service provider in case of providing services to many intermediaries; (e) record of complaints or