are appeared to the SEC Office that such branch office has had inappropriate manner as follows: (1) doing business in a manner which may cause damage to its clients; (2) undertaking operation in a
range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5
ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5) having a clear action plan which demonstrates determination for providing
market; (3) the management of the mutual fund may have an impact upon the creditability of the overall Thai capital market; (4) the management of the mutual fund may cause damage to the investors or may
of sub-agent, terms and conditions on the responsibility of the agent, terms and conditions on the person responsible for the damage of the client’s assets, and terms and conditions specifying that the
, terms and conditions on the responsibility of the agent, terms and conditions on the person responsible for the damage of the client’s assets, and terms and conditions specifying that the agent must
agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person