managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any
opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy
Thailand; (3) an international financial institution; (4) a juristic person established under a specific law; (5) a government agency and a State enterprise under the law on budgetary procedure; (6) the
securities company; or (b) an appointment is made in accordance with Section 145; (c) the securities company is a state enterprise under the law relating to budget procedures. (8) being a manager or a person
government agency and state enterprise under the law on budgetary procedure; (8) the Financial Institutions Development Fund; (9) a juristic person having total assets of five hundred million baht or more
dispute for which each claimant seeks compensation not exceeding one million baht, and (3) In case of the dispute arising from the providing of securities business services, or the failure to comply with
asset or compensation from a client or other persons as a result of duty performance. Clause 6 A securities company should arrange a compliance system according to the following guidelines: (1
the compensation for the membership fee of a website, etc.; (2) the owner of a website or any other electronic media giving a channel for the general public to express an opinion or share knowledge or
case an intermediary being [i] financial institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of Finance’s purview has
such transaction. The provision in the first paragraph shall apply to the case where the management company is the liquidator of the mutual fund under its management and receives a compensation for