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
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 securities
, 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 notification of the Office when
, 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 notification of the Office when
Board No. TorNor. 49/2553 Re: Provisions Relating to Governance and Business Takeover of Foreign ETFs By virtue of Sections 16/6, 89/1, 89/12, 89/14, 89/29, 89/31, 246 and 247 of the Securities and
the application date: 1.1 organized or accepted by the SEC Office; 1.2 internationally organized and accepted by the SEC Office. In this case, an additional examination on related rules is required. 3
organized or accepted by the SEC Office; 1.2 internationally organized and accepted by the SEC Office. In this case, an additional examination on related rules is required. 3 Securities means all types of
civil dispute incidental to or resulted from the derivatives business, which the customer of the derivatives business operator may refer to settle by means of arbitration as organized by the SEC Office
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
statement/ Dissenimation of false or misleading information 0 0 - - 0 0 1 1 Market manipulation 0 0 2 32 0 0 - - Insider trading / Disclose inside information 0 0 - - 0 0 - - Takeover - - - - 1 1