of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
17 February 2009, the Cabinet has declared 6 July 2009 a special public holiday in order to stimulate domestic consumption and promote tourism business. By virtue of Section 110 of the Securities and
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the performance of the management company itself
shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the performance of the management company itself
Domestic Fund) เป็นกองทุนรวมที่บริษัทจัดการจัดตั้งขึ้น โดยมีวัตถุประสงค์ที่จะเสนอขายหน่วยลงทุนให้แก่ผู้ลงทุนที่มีภูมิลำเนาอยู่ในประเทศไทย เพื่อที่จะระดมเงินทุนในประเทศไทย อย่างไรก็ตาม เนื่องจากกองทุนรวมไม่มี
demonstrate that such investment is for the benefit of all unitholders of the mutual fund. (2) investment in the units of a domestic money market fund shall be for the benefit of managing liquidity of the