approved entities, e.g., investment consultants 1 and listed companies 2 ______________________________ 1 In case you are a client of a securities or derivatives intermediary who, as a disputant, agrees to
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SEC Help Center Whistleblower Filing a tip (whistleblowing) means providing information that can be used in legal proceeding in case of violation. Whistleblower protection ● Any employee or worker who
, solicitation documents/contracts, and a certified copy of personal checks and other evidence relevant to and useful for the SEC inspection; 5. Complaints with other agencies, i.e., please specify whether or not
advice on matters under the SEC's purview. Complaints / Whistleblowers Inquiries / Suggestions Abritation For filing a complaint or sending an inquiry, please use any of the following channels (24
advice on matters under the SEC's purview. Complaints / Whistleblowers Inquiries / Suggestions Abritation For filing a complaint or sending an inquiry, please use any of the following channels (24
) Financial Crime Suppression, the Ministry of Finance Telephone: 1359 Website: www.1359.in.th ● Frauds or embezzlement considered as economic crime (e.g., product piracy, computer crime) Economic Crime
Help Center Complaints/Whistleblowers Matters under the SEC Responsibility Complaint Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws
of filing a complaint against SEC executives or staff for alleged improper or unfair duty performance, in which case a special committee will be appointed to consider the case and conduct an
minority investors to bring an action against any director who acts or omits to act in any way that constitutes a failure to perform duties with responsibility, due care and loyalty for the best interest of