Finance with regulations prescribe the holder can redeem at the certain price or at the minimum price determined on the issuing date, by the securities company that is a selling or redemption agent of such
agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund
(No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund supervisor; (4) a
) B.E. 2551 (2008) stipulates that the issuance of rules, conditions and procedures for securities brokerage and securities dealing and application for and approval of appointment of any person as agent
brokerage and securities dealing and application for and approval of appointment of any person as agent or broker of a securities company is under the authority of the Capital Market Supervisory Board, it is
broker to act as the client’s agent in derivatives trading, provided that the written agreement the derivatives broker has made with the client shall contain no statement which enables the derivatives
shall enter into a written agreement with the client who has assigned the derivatives broker to act as the client’s agent in derivatives trading, provided that the written agreement the derivatives broker