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
underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business
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
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
expeditious and fair alternative dispute resolution, the customer may request to enter into an arbitration process as organized by the SEC Office for the settlement of civil dispute incidental to or resulted
รอง (organized market) สำหรับการซื้อขายหน่วยลงทุนของผู้ลงทุนใด ๆ โดยบริษัทได้จัดให้มี ผู้ลงทุนรายใหญ่อย่างน้อยหนึ่งรายที่พร้อมจะซื้อและขายคืนหน่วยลงทุนเพื่อให้ราคาซื้อขายหน่วยลงทุน ในตลาดรองสะท้อนมูลค่า
เอฟในตลาดรอง (organized market) สะท้อนมูลค่าหน่วยลงทุนของกองทุนรวมดังกล่าวที่คำนวณจากมูลค่าทรัพย์สินสุทธิของกองทุนรวมได้อย่างใกล้เคียงกัน ทั้งนี้ โดยการซื้อขายหน่วยลงทุนของกองทุนรวมอีทีเอฟและหลักทรัพย์
derivatives position remaining until the settlement date. 6. Risk from being unable to proceed with the order of futures trading of an investor for loss limitation The derivatives broker may be unable to
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
at least. [M] · Providing consistently an inspection of operational recording of user . [A] · Providing a preventing measure for alteration of other record and limitation of right for only concerned