charge; otherwise, a civil lawsuit is an option. The SEC has no authority to handle a claim for compensation or proceed with a civil dispute. Should you need legal advice on such matters, please contact a
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
on the approval for the offer for sale of debt securities in a public offering (PO) or the offer for sale of certain types of debt securities would require credit rating to be arranged by an approved
clearly specified; 2) Having payment arranged to be in Thai baht; 3) Not having the characteristics of structured notes ( except there is a put option or the convertibility requirements); 4) In case of
classified as Tier 2 capital which are convertible. [3] Subordinated instruments shall have the following features: 1) Having interest rates clearly specified; 2) Having payment arranged to be in
market currently operated by Finnet Innovation Network Co., Ltd. The outsourcing should be justifiably arranged and not becoming an empty box (without business operations). The intermediaries are
≥ 10% of the total number of the unitholders. Meetings arranged for seeking resolutions from trust unitholders: with a quorum of not fewer than 25 unitholders or not less than half of the total
case of dispute; therefore, the company should also keep the original hardcopies until regulations concerning the matter are stipulated. Q: In case, like the company secretary, CFO's secretary