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
seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full-time or guest instructor at universities accepted by Office. 1.2 Scope of
use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the
Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
3 The derivatives dealer shall enter into an agreement with the client in writing at the time agreed upon to provide services to the client to arrange for a dispute resolution by an arbitration
juristic person incorporated under the law of Thailand, or a natural person who is domiciled in Thailand with the fund for investment in financial instruments or derivatives or deposits at the total amount
security of information technology in accordance with the criteria prescribed and notified by the SEC Office. Clause 9 The derivatives broker shall ensure that at least one-quarter of the company’s directors
foreign currency to the clients, the intermediary shall inform the SEC Office of the names and details of such foreign personnel at least one business day before proceeding with the arrangement, except for
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
selling unit-linked life insurance policy approved by the Office. Chapter 1/1 Renewal for Approval ___________________ Clause 8/1. In renewal for approval, the applicant shall submit renewal application, at