efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company
branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest
persons to act or perform duties on his behalf. Clause 14. In order that investors shall receive good, efficient and fair services, the investor contact shall perform duties in accordance with the following
contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as follows: (a) for the
Office, or any other higher standards approved by the Office; (b) the limit of derivatives position (position limit) held by the company at any time considering from: 1. total position 2. position without
company should arrange an information management system according to the following guidelines: (1) putting in place an efficient information management system that is capable of processing accurate and up
include only (1) any lawsuit that may negatively affect the assets of the Company or a subsidiary at an amount higher than 5 percent of the shareholders' equity at the end of the latest financial year. In
efficient business operational process should be disclosed as well. The Company may also disclose the operating results, the outcomes and the action plan (if any) related to other social management as the
, roles, authority and responsibility of directors, executives and other personnel of the intermediary clearly. (3) having appropriate, reliable and efficient operating system to support an intermediary ’s
has decided that intermediaries shall comply with the rules and conditions issued by the AMLO instead; however, intermediaries shall have an efficient risk management system adequate for the prevention