main objective is to promote and develop securities businesses in the category of investment management; “Private fund manager” means a director or an employee of a securities company licensed to

shall be an entitlement of unallocated subscribers’ rights to receive interest at the rate of not less than seven point five percent per annum from the date after such period ends; (b) prohibition of

within such period of time, there shall be an entitlement of unallocated subscribers’ rights to receive interest at the rate of not less than seven point five percent per annum from the date after such

business day in the amount not less than fifteen million Baht and not less than seven percent of the general liabilities except in case of (2) or (3) (2) securities company which also operates as the

customer within seven days from the date the derivatives broker completes its consideration of the customer complaint; (3) notifying the customer to acknowledge the rights to propose the complaint to be

country, identify the name of such stock exchange and whether or not it is the main stock exchange. 5.5 Financial institution with regular contact (only in case of debt securities offeror) Part 2 Corporate

Office has submitted the claimant’s selected list of three arbitrators to the respondent, the respondent shall select one arbitrator from the list and notify the Office within seven days from the date on

number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock

persons. Companies should arrange a call tree and a name list of customers, the main service providers and other relevant persons, including contact information, such as an office phone number, home phone

supervisor within seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office