liquidator under the first paragraph shall be given prior approval from the Office. Expenses and remuneration arising from liquidation of any mutual fund shall be paid from the assets of that mutual fund.
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
expenses, provided that the expenses are limited only to expenses relating to the business operation; (3) ten percent of the average annual income but not exceeding five million baht, provided that the
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
provisions regarding the expenses for the fund’s operation; (10) the provisions regarding the general meetings; (11) other particulars as prescribed in ministerial regulations. The fund committee shall
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
Total Income 2. Expenses 2.1 Expenses on Borrowing 2.2 Fee and Service Expenses 2.3 Bad debt and doubtful accounts 2.4 Shares of loss of subsidiaries and affiliated 2.5 Operating expenses 2.5.1 Personnel
the Minister. The remuneration shall be deemed as expenses for the operation of the SEC Office. DIVISION 1/14 THE CAPITAL MARKET SUPERVISORY BOARD SECTION 16/1. 6 The Capital Market Supervisory Board
rights; (9) the provisions regarding the expenses for the fund’s operation; (10)3 the provisions regarding the general meeting or member meetings classified by investment policies or employers in cases