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

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

as organized by the SEC Office, shall be the dispute that represents the amount of damages claimed by each customer not more than one million baht. Clause 2. This Notification shall come into force as

analysis on securities investment or analysis relating to economic and industrial conditions and passed the training course under the project to produce new qualified securities analysts organized by the

settlement of a civil dispute incidental to or in connection with the undertaking of the derivatives business, such dispute will be settled by means of arbitration organized by the SEC Office in accordance

of securities companies and derivatives business operators in 2016, as follows: 1. Friday 1 January New Year’s Day 2. Monday 22 February Makha Bucha Day 3. Wednesday 6 April Chakri Day 4. Wednesday 13

for B.E. 2551 (2008) as follows: 1. Tuesday 1 January New Year’s Day 2. Thursday 21 February Makha Bucha Day 3. Monday 7 April Chakri Day (Substitution Day for Sunday 6 April) 4. Monday 14 April

) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the

รอง (organized market) สำหรับการซื้อขายหน่วยลงทุนของผู้ลงทุนใด ๆ โดยบริษัทได้จัดให้มี ผู้ลงทุนรายใหญ่อย่างน้อยหนึ่งรายที่พร้อมจะซื้อและขายคืนหน่วยลงทุนเพื่อให้ราคาซื้อขายหน่วยลงทุน ในตลาดรองสะท้อนมูลค่า