arbitral proceeding other than those prescribed herein shall be in compliance with the provisions of the Arbitration Act. Clause 5. In the arbitral process, the Office shall assign its staff to perform
the proceeding power ” means an official receiver and the SEC Office. “ client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives
directors and persons with power of management , without conflict of interest which may cause the lack of independency in proceeding mutual fund rating, and is capable of operating the work impartially and
securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from
management arrangement and shall be filed with the Office before proceeding with the fund management under the contract. Clause 2 This Notification shall come into force as from 16 August 2009. Notified this
or investing in capital market product whether or not the analysis is fundamental or technical, in conjunction with such consultation. “ fundamental analysis ” means an analysis to seek an appropriate
whether or not the analysis is fundamental or technical, in conjunction with such consultation, and shall mean an ASEAN investment analyst as well; “ ASEAN investment analyst ”9 means a person eligible to
auditor approved by the Office for such accounting year. For the benefits of proceeding in accordance with such provisions, the Office of the Securities and Exchange Commission hereby prescribes guidelines
account the financial market and capital market, politics and social condition: - Industry analysis: - Study and analysis of fundamental factors of the business to be invested. (3) Prescription of criteria
securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the