dispute for which each claimant seeks compensation not exceeding one million baht, and (3) In case of the dispute arising from the providing of securities business services, or the failure to comply with

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.

’ right exercising, prevention of the use of inside information, prevention of conflicts of interest, responsibility towards stakeholders, compensation in case of rights violation, anti-corruption action

managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any

in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom. "securities dealing" means a purchase, sale or

trustee or the surviving trustee shall be liable to such damage. The beneficiary may claim compensation from the former trustee or the surviving trustee for the benefit of the trust property if damage to

of the Office, the determination of salary and other remuneration as well as welfare and assistance; (5) any other activities to be implemented according to the objectives of this Act. All rules

brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom

opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy

used in determination of partner’s remuneration? (Do not need to specify amount of remuneration, just describe the criteria ) 10 Does the firm carry out the staff satisfaction survey results? If yes