e-service Online Submission See canceled document Derivatives Agent >> Activities NOT deem TO be classified AS operating securities business   Type Title Section See Document Status Notified Date

;security agent เก็บรักษาไว้ได้หรือไม่ และหากบริษัทจัดการกองทุนรวมไม่สามารถดำเนินการเช่นนั้นผู้ดูแลผลประโยชน์ของกองทุนรวมจะมีความผิดฐานใดหรือไม่ คำตอบ:  

as collaborating to do business, act as an agent, assist, or be a channel for foreign business operators in such solicitations may also be deemed an act of co-principals or accomplices of the

การตัดสินใจลงทุน นอกจากนี้ ในการจัดให้มี IBA (Introducing Broker Agent) ให้ดำเนินการได้เฉพาะการให้บริการเกี่ยวกับโทเคนดิจิทัลเท่านั้น เพื่อมิให้เป็นการสนับสนุนการเก็งกำไรในคริปโทเคอร์เรนซีซึ่งเป็น

transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended

SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program

increase  flexibility and effectiveness in business operations by delegating other persons, who are prepared to operate the business under the principle of principal-agent relationship. SEC has held three

principal, whose name has not been revealed, or an agent without disclosing the name of any person above in any action related to the derivatives trading account of such person. Furthermore, they must not

maintain the minimum net capital of B15 million (or at least B25 million if holding derivatives agent license). In addition, securities companies must maintain the minimum net liquid capital of at least 7

selecting custody agent to ensure that such custody agent has operational systems relating to asset custody, as specified by the https://publish.sec.or.th/nrs/1927se.pdf act-sea1999-no2.pdf capital of at