convenient, expeditious and fair for investors, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come into force as form 16 May
use valuation method and shall be granted exemption as follows: (1) in determining the fair value of equity instruments issued by PTT Public Company Limited for calculating the net asset value of mutual
transaction and such transaction should be fair to the client under that particular situation. (3) Proxy voting (4) The calculation of the asset value of the fund should be carried out in accordance with the
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
Exchange Commission Remark: The reason for issuing this Notification is to ensure that the procedures for settlement of disputes by arbitration are fair and comply with the rules specified by the Office.
investments means the difference between the book value and fair value of investment, which is determined by the Accounting Standard to be reported in the shareholders’ equity. 25. Retained earning (deficit
ปรึกษาการลงทุนทราบ · (ข) หลักปฏิบัติในการให้คำแนะนำอย่างเป็นอิสระ (independence and objectivity) ( (ค) หลักปฏิบัติในการปฏิบัติต่อลูกค้าประเภทเดียวกันอย่างเท่าเทียมกัน (fair treatment) · (ง) หลักปฏิบัติใน
in such a manner that does not comply with the fair allocation principle; and (7) a person to whom an offeror of newly issued securities is not allowed to allocate securities under the Notification of
mutual fund so that such mutual fund obtains benefits in such a manner that does not comply with the fair allocation principle; and (5) a person to whom an offeror of newly issued securities is not allowed
procedures and processes to resolve the issues, and lists of contact persons and the communication channels, etc.; (8) define the level of security for each type of data to be used in the cloud service by