used in legal proceeding in case of violation. Whistleblower protection ● Any employee or worker who provides information or cooperation by giving a tip, testifying or submitting useful documents for
(buying investment units at a minimum of 10 million baht). Listing in the Stock Exchange is prohibited before the assets start generating revenue (the listing in the Stock Exchange must be done within three
the clarification of the person(s) against whom the complaint is filed, and whether an explanation is sufficient for further legal proceeding; ● In case of a dispute between an investor and an
investment goals. This may lead to multiple financial products in the investors' portfolios but insufficient solutions to the investors' long-term financial well-being. The SEC is proceeding with a strategic
representatives of the class members in proceeding with the case in Court. The judgment of the Court shall have the consequence of binding the parties and the members of the class. The plaintiff or the counsel for
injured person. I n addition, the plaintiff and the counsel for the plaintiff are the representatives of the class members in proceeding with the case in Court. The judgment of the Court shall have the
) 1.3 กระบวนการซื้อขายผลิตภัณฑ์การลงทุน (Buying/ selling process of investment products) 1.4 การเป็นเจ้าของผลิตภัณฑ์การลงทุน (Owning investment holdings) 1.5 สิทธิและความรับผิดชอบของผู้ลงทุน (Investors