determinant of the degree to which shareholder rights are protected is whether effective methods exist to obtain redress for grievances at a reasonable cost and without excessive delay. The confidence of
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
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
REGULATORS 1. Maintenance of records 2. Scheduled or surprise audits involving site visits to firm headquarters 3. Follow-up investigations for complaints BUT DOES NOT ADJUDICATE 4. Issue sanctions
Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL 2011 This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official views of the Organisation or of the governments of its member countries. This document and any m...
(Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliam...
the rules on sale or acceptance of redemption of investment units or customer solicitation; (4) handling investor complaints relating to the performance of duties in sale or acceptance of redemption of
representative to comply with the clause in the agreement and the rules on sale or acceptance of redemption of investment units or customer solicitation; (4) handling investor complaints relating to the
) establishing an efficient management system for handling complaints or disputes in connection with provision of services as securities registrar; (6) facilitating the examination of the securities register for
relation to the customer complaint, specifying solvable and unsolvable complaints by category and filing the report to the Office, on a quarter basis, within fifteen days from the end of a quarter. (5