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
securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
invests in or holds shares of any companies as assets of a mutual fund, it shall exercise the shareholder’s voting rights on behalf of the mutual fund in accordance with the following rules: (1) Arrange to
Section 14 and Section 67 of the Derivatives Act B.E. 2546 (2003), the SEC Office hereby issues the following regulations: Clause 1 Any licensee of derivatives exchange business who wishes to arrange for
association shall arrange a hearing with such persons and submit a report on such hearing to the SEC in support of the consideration for approval of the proposed rules. The consultation paper is available at
In June 2017, the SEC required EARTH to arrange a special audit on the transactions of the advanced payments for goods and the payment for the right to purchase goods. The EARTH's plan preparer later