● Conducted on-site inspections on the SET twice to ensure its operational transparency and fairness, and to assess its effectiveness in dealing with price manipulation, tackling rumours, handling complaints
governance guidelines cover the key areas of risk management, internal control, code of conduct, conflict-of-interest management, handling of complaints against the SEC's staff and communication with
guidelines cover the key areas of risk management, internal control, code of conduct, conflicts-of-interest management, handling of complaints against the SEC's staff, communication with stakeholders and
detailed in Chapter 5; (5) business continuity management and security of information technology systems, as detailed in Chapter 6; (6) outsourcing of services, as detailed in Chapter 7; (7) handling of
protection to fund members by introducing such concepts as segregation of assets, suitable investment ratio, valuation of assets, and complaints handling process by professional fund managers. Another
decided in each agenda item should be provided in advance of the meeting. Shareholders should be able to query directors both in the meeting and by sending their questions in advance. They should also be
Office of the Securities and Exchange Commission relating to the handling of customer’s complaint, as the case may be, and it appears the fact that; 1. the claimant is not contacted by the complaint
notification of the Office of the Securities and Exchange Commission relating to the handling of customer’s complaint, as the case may be, and it appears the fact that; 1. the claimant is not contacted by the
notification of the Office of the Securities and Exchange Commission relating to the handling of customer’s complaint, as the case may be, and it appears the fact that; 1. the claimant is not contacted by the
matters are on institutional investors’ agenda. Such information could be a useful reference for retail investors to make their own voting decision ; · Endorsing the IOD’s operation from the policy