handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
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
assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the
license under the regulatory sandbox shall be able to demonstrate the ability to proceed in accordance with such procedure and internal control system throughout the period of providing services as a
. Within five business days from the date on which the accounts and related documents of the mutual fund according to (1) of the first paragraph of Clause 4 have been received, the liquidator shall proceed
bases in Hong Kong and China . In addition, it provides a tangible progress in building economic relation between Hong Kong and Thailand in accordance with the aforementioned MoU between both governments
shall be explained in terms of a 3-5-year business plan (represented in figures or otherwise) and a progress report on the implementation of the operation according to the goals shall be explained in the
title and location, the type of project, the target customers, the number of units, sale/rental space, project value, sale and construction progress, etc. 2.2 Marketing and competition (a) Describe the
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC