seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full-time or guest instructor at universities accepted by Office. 1.2 Scope of
providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
as organized by the SEC Office, shall be the dispute that represents the amount of damages claimed by each customer not more than one million baht. Clause 2. This Notification shall come into force as
or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an
manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to
รอง (organized market) สำหรับการซื้อขายหน่วยลงทุนของผู้ลงทุนใด ๆ โดยบริษัทได้จัดให้มี ผู้ลงทุนรายใหญ่อย่างน้อยหนึ่งรายที่พร้อมจะซื้อและขายคืนหน่วยลงทุนเพื่อให้ราคาซื้อขายหน่วยลงทุน ในตลาดรองสะท้อนมูลค่า
เอฟในตลาดรอง (organized market) สะท้อนมูลค่าหน่วยลงทุนของกองทุนรวมดังกล่าวที่คำนวณจากมูลค่าทรัพย์สินสุทธิของกองทุนรวมได้อย่างใกล้เคียงกัน ทั้งนี้ โดยการซื้อขายหน่วยลงทุนของกองทุนรวมอีทีเอฟและหลักทรัพย์
use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the
notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk