of operational function other than sub clause (1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker
market business shall be persons who do not possess the prohibited characteristics as specified in Chapter 7. Chapter 4 Application for Approval and Granting of Approval Division 1 Application for Approval
user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial
staff and user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other
Notification. 4 Chapter 1 Rules on Establishing Domestic or Oversea Branch Office ____________________ Division 1 An approval ________ Clause 7 An intermediary who wishes to establish a domestic or oversea
deemed that an intermediary has already complied with this Notification. 4 Chapter 1 Rules on Establishing Domestic or Oversea Branch Office ____________________ Division 1 An approval ________ Clause 7 An
. 2535 (2008) law on loan interests of financial institutions means Loan Interests of Financial Institutions Act B.E. 2523 (1980) In this Division 1, the meaning of word “management company” dose not
appointment of a marketing representative of private fund. Chapter 1 Appointment of a Representative ___________________ Division 1 3 Appointment of an agent for selling investment unit or receiving requisition