control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
committees, internal auditors, and regulatory bodies in accounting professions, and better understanding of their roles and responsibilities. Various tools and mechanism have been introduced to facilitate
investment analyst by a regulator in an ASEAN country which is accepted by the SEC Office.1 1 an ASEAN country which is accepted by the SEC Office means a signatory to the Memorandum of Understanding on 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
, 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
delay. Clause 13 A management company 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
delay. Clause 13 A management company 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
fails to act under the first paragraph, the management company shall revoke the appointment or change such representative without delay. Clause 13 A management company shall handle investor complaints