determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
and business disputes; ● Complaints barred by prescription or limited by time to gather evidence as specified by law. Matters under the SEC Responsibility Complaint Handling Procedure Samples of
responsibility in the investment-related field of the mutual fund management company. 2.2 The mutual fund management company shall organize knowledge enhancement or training sessions for their fund managers and
in Thailand continuously for not less than 1 year; Having a manager and a person holding executive position responsible for the working field relating to asset appraisal who have knowledge and working
, inappropriateness, or deficiencies in performing the duties. FAs may resort to information from a specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a