is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the

liabilities ” means total liabilities deducted by qualified liabilities . “ total liabilities ” mean: (1) all liabilities shown in the financial statement but not including the following liabilities: (a

new fund scheme and the former mutual funds are dissolved; (6) “new mutual fund” means a new mutual fund established by means of mutual fund merger; (7) “former mutual funds” mean the mutual funds which

capital ” means liquid assets deducted by total liabilities ; “ liquid asset ” mean the total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase

Companies dated 18 May 1992 shall mean the reference to this Notification. Clause 4 This Notification shall come into force from 1 September 2009. Notified this 3rd day of August 2009. (Mr. Vijit Supinit

finance during an occurrence of emergency incidents. 5.4 Establishment of alternative site In order to prevent impacts from emergency incidents occurring wide areas, companies may arrange an alternative

such complaint is completed; In cases where the giving of advice or placing of orders under Paragraph 1 has been made via telephone or by electronic mean, a record of audio tape or electronic recording

undertake securities business under this Act. "securities business" mean any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4

director, deputy manager, assistant manager, department director, branch manager and shall also mean any person holding equivalent position called otherwise and such person shall be responsible for a line of

with Customer Complaints dated 1 February 2002 shall mean a reference to this Notification. Clause 7 This Notification shall come into force from 1 September 2009. Notified this 3rd day of August 2009