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
understanding of the requirements under HK-TH MRF MoU, the SEC hereby would like to clarify the details thereof and provide information on related practices as follows: 1. Objectives of HK-TH MRF MoU HK-TH MRF
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
Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work
. In this regard, if the intermediaries proceed differently from this practice guidelines, the intermediaries shall have an obligation in proving that such proceeding is still under the principles and
Part 1 Business Operation and Operating Results 1. Organizational structure and operation of the group of companies 1.1 Policy and business overview Provide an overview on the background and nature of
. 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
firm follows to provide reasonable assurance that new or revised regulations, interpretations, or rulings on independence, integrity, and objectivity matters considered appropriate for its practice? 12
Attachment 3: Details of heads of internal audit and compliance units Attachment 4: Details of asset appraisal Part 1 Business Operation 1. Policy and business overview Provide an overview on the background