Baht 100.55 million was caused by (i) the settlement of a dispute in a lawsuit with one hirer in the amount of Baht 94.83 million in order to stop the risk which may have a negative impact to the
, and promoting exercise of investors? rights. The SEC also aims to promote independent investment advisory business and develop a more efficient mechanism for dispute resolution and effective enforcement
you are a client of a securities or derivatives intermediary who, as a disputant, agrees to be bound by the arbitrator’s decision, a dispute may be settled through arbitration. 2 Listed company means a
investment advisory business and develop a more efficient mechanism for dispute resolution and effective enforcement. ?To achieve these strategic goals, the SEC is striving towards becoming a smarter regulator
be done by professionals and based on recognized academic principles. Clause 35 In case a client ’s suitability to invest in or enter into a transaction of capital market products is unable to be
of such suitability. The provision of basic advice on basic asset allocation as specified in Paragraph 2 shall be done by professionals and based on recognized academic principles. Clause 35 In case a
commonly-accepted academic principal or the international standard as prescribed by the Association of Investment Management Companies (2) Duty of Care The management company should observe the duty of care
commonly-accepted academic principal or the Page 3 of 32 (Unofficial Translation) international standard as prescribed by the Association of Investment Management Companies (2) Duty of Care The management
auditors in the capital market (hotline project). There were more than 25 consultation cases raised by auditors during the previous year. Supporting academic work in accounting education (24 July 2020) The