agent or as the lender or its agent , do so with an understanding that such borrowing or lending is made in accordance with any of the following purposes: (1) to enable the borrower or other persons to

, 2019 onward.  Revision has been made for escrow agent transactions to ensure increased flexibility; the Escrow Regulation Committee has been given more powers and obligations in supervising and

of MTN Program…………………………………………………… Financial Adviser…………………………………………………………… Underwriter…………………………………………………………………… Representative of Debt Securities Holders………………………… Registrar and Paying Agent

Printable Format - กฎหมาย ประกาศ หนังสือเวียน วิธีปฏิบัติ Derivatives Agent >> การขอจดทะเบียน   ประเภท เรื่อง มาตรา ดูเอกสาร วันที่ลงนาม วันที่มีผลใช้บังคับ 1. ประกาศคณะกรรมการ ก.ล.ต. ที่ กธ. 7/2560

client’s assets; □ (3.6) System to prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a

prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a system ready for keeping assets into

regulatory association approved by the Securities and Exchange Commission; “Mutual fund” means any mutual fund established under the laws governing securities and exchange; “Marketing agent of fund manager

the Securities and Exchange Commission; “Mutual fund” means any mutual fund established under the laws governing securities and exchange; (Translation) 2 “Marketing agent of fund manager” means any

association approved by the Securities and Exchange Commission; “Mutual fund” means any mutual fund established under the laws governing securities and exchange; (Translation) 2 “Marketing agent of fund manager

. Clause 8. A securities company shall not appoint any person to be an agent for the custody of client’s assets unless such appointment complies with the following rules: (1) the person appointed by a