administrative work for the arbitrator. Chapter II Filing of Dispute ________________________ Part I General Provision ________________________ Clause 6. The dispute to be filed by the claimant into the arbitral
following regulations: Clause 1. The civil dispute incidental to or resulted from the derivatives business, which the customer of the derivatives business operator may refer to settle by means of arbitration
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
efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company
. 4.2 Having a system for handling clients’ complaints and dispute resolution efficiently, for instance, compliance with the Notification of the Capital Market Supervisory Board concerning Rules on Duty
Dispute Resolution and Enforcement Mechanism (“DREM”) (7) เป็นโครงการจัดการลงทุนต่างประเทศที่ระบุเกี่ยวกับการเปิดเผยข้อมูลที่ มีสาระสำคัญอย่างน้อยเช่นเดียวกับข้อมูลที่กองทุนรวมตามประกาศเกี่ยวกับการจัดตั้ง
investment through a website or any other electronic media which may be securities analysis in a personal article accessible for the general public’s perusal or sharing of opinions on investment through a
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
release date of such analysis report or article to customers, as the case may be, and shall be readily accessible or open to inspection by the Office during the first two years of the 5-year period. Clause
advisors on dispute resolution by an arbitrator on the SEC Office’s list, shall come into force as from 1 January 2016; (2) Clause 17, which is related to arrangement of agreement with clients on provision