handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
. Within five business days from the date on which the accounts and related documents of the mutual fund according to (1) of the first paragraph of Clause 4 have been received, the liquidator shall proceed
bases in Hong Kong and China . In addition, it provides a tangible progress in building economic relation between Hong Kong and Thailand in accordance with the aforementioned MoU between both governments
license under the regulatory sandbox shall be able to demonstrate the ability to proceed in accordance with such procedure and internal control system throughout the period of providing services as a
. In this regard, if the intermediaries proceed differently from this practice guidelines, the intermediaries shall have an obligation in proving that such proceeding is still under the principles and
operating system which is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed
(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to
undertake the business as approved. Clause 8. Any changes in the operation system from the system approved by the Office, the custodian shall notify the Office in advance in writing. If the Office has no
title and location, the type of project, the target customers, the number of units, sale/rental space, project value, sale and construction progress, etc. 2.2 Marketing and competition (a) Describe the