Arbitration Procedures Investigation of Possible Contraventions of the SEC Act B.E. 2535 (1992), Procedure for Investigation, and Criminal Action Procedure Summary of Settlement and Legal Actions in the Year
Appellate Committee 70 Sub-committees 76 Other Committee and Steering Groups 78 Arbitrators 79 Procedure for Investigation of Possible Contraventions of the SEC Act and Criminal Action 81 Financial Statements
system o Providing an alarm device such as smoke detector, heat detector etc. in order to prevent or suppress fire immediately. [M] o The computer centre shall have automatic fire suppression system. For
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operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
. A n n u a l R e p o r t 2 0 0 6 17 ë Handling of Complaints Against SEC Staff The SEC implemented a quick and thorough procedure for effective handling complaints against the SEC staff to assure
quarterly MD&A (management discussion and analysis); and (4) Encouraging securities companies to voluntarily enter into dispute settlement through arbitration procedure Self-Discipline ● Prescribed best
, employees, customers and suppliers of KBank, through dissemination of knowledge in various media such as e-Learning, Security Newsletter, Cyber News Alert, online games and infographics. Moreover, a phishing
and minor children. Handling of Complaints against SEC Staff The SEC has established an efficient procedure for handling complaints filed against its staff to assure fairness for the affected parties