Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of operation before and after
in the 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
appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by
, for instance the compliance according to the Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the
Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by
Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by
unable to perform REIT manager’s function under Chapter 2 efficiently and reliably, if the applicant obtain an approval to be a REIT manager. 4 Clause 12 In case an applicant is a company as specified in
their experiences to support effective adaptation regarding ITGC issues for auditors to perform an audit of financial statements more efficiently. Strengthening Competency of CFOs and Audit Committees
to be complied with, the SEC Office may perform the following: (1) establish rules in clear detail to enable derivatives clearing houses to practice in a consistent manner; (2) set out detailed