of raised capital could be summed up to shareholders’ equity. (2) having a system for handling client’s complaints and dispute resolution efficiently, for instance the compliance according to the
agreement in writing with their clients for dispute resolution by the SEC Office’s provided arbitration as requested by any client at the time of making [servicing] contract or agreement: (1) derivatives
exceeds an appropriate level when evaluated against the Labor Protection Act B.E. 2541 (1998) and labor dispute resolution guidelines of the Labor Court. The IFA suggests that a more appropriate amount of
, and promoting exercise of investors? rights. The SEC also aims to promote independent investment advisory business and develop a more efficient mechanism for dispute resolution and effective enforcement
providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
with clients in writing. Clause 12 The following intermediaries shall make an agreement in writing with their clients for dispute resolution by the SEC Office’s provided arbitration as requested by any
following intermediaries shall make an agreement in writing with their clients for dispute resolution by the SEC Office’s provided arbitration as requested by any client at the time of making [servicing
representatives (Section 18) |- Auditors | - |- Approval (Section 30) |- Accounting and Financial Statements (Section 27, 28) |- Reporting Requirements |- Anti-money Laundering |- Arbitration |- Appeal |- Others