agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund
(No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund supervisor; (4) a
........................................................................................................................ 8 Ownership .............................................................................................................................. 9 Related Party Transactions
increase flexibility and effectiveness in business operations by delegating other persons, who are prepared to operate the business under the principle of principal-agent relationship. SEC has held three
occasions such as making merits on the SEC's anniversary, making social contribution to communities in Bangkok and other provinces, organizing annual staff party and sports events with other capital market
the SEC website. The SEC has the power to pursue two types of legal action, as the case may be, as follows: · Administrative sanctions : If a party involved in malpractice fails to perform
the SEC website. The SEC has the power to pursue two types of legal action, as the case may be, as follows: · Administrative sanctions : If a party involved in malpractice fails to perform
at shareholder meetings, the procedures for approval of related party transactions and shareholder participation in decisions on executive remuneration. III) Institutional investors, stock markets and
regarding the shares’ purchase price and the conditions in the event of the completion of share purchase, which shall be regarded as a disputes resolution between each other and neither party is fascinated in