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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

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

product in support of their investment decision making; (3) To disclose the fees charged to the clients by the intermediary . Clause 8 In case of providing services to clients who are subject to the

type of license granted to the intermediary ; (2) To arrange for clients to access the information prepared by the foreign intermediary or the issuer or the offeror of such product in support of their

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

avoided, the procedures to ensure that investors are fairly and appropriately treated shall be implemented; (6) Not support, instruct or cooperate with any person to act in violation of the law on

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