. 68/2558 Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary 13/08/2015 16/09/2015   Notification

firm to perform duty as local intermediary in Thailand ( issued by Qualifying CIS Operator ) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the Qualifying CIS

of a brokerage firm to perform duty as local intermediary in Thailand (issued by Qualifying CIS Operator) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the

- 3210 of 3,262 results Sort by: Relevance Date (Newest) Date (Oldest) 6324se.pdf entering into any transaction; (e) risk tolerance. Clause 32 For the purpose of knowing a client, an intermediary shall

Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Granting of Approval for Intermediary Personnel as Investment Analyst and Investment Consultant dated 18 January 2012 and Clause

, the SEC allows issuer and intermediary to offer for sale of complex or high risk financial instruments to AI. However, certain products permissible for AI are allowed to offer to retail investors

, Chairman of TBA said ?TBA is well aware of intermediary?s roles to promote saving and investment to uplift a standard of living and build a stable life. With over 6,600 bank branches nationwide,  the

types of securities to support strategic fund mobilization and accommodate new product launches; (4)   To divide intermediary supervisory units with separate focuses on development and inspection; (5

ออสเตรเลีย ญ่ีปุ่น เกำหลีใต ้นิวซีแลนด์ และไทย 1 เช่น เป็น CIS operator ท่ีอยูภ่ำยใตก้ำรก ำกบัดูแลโดยหน่วยงำนก ำกบัดูแลของประเทศตน (home regulator) โดยมีตวัแทนขำยในไทย (local intermediary) ท ำหนำ้ท่ีรับผดิชอบ

and responsibility to shareholders, unitholders as well as society and environment.? Pattera Dilokrungthirapop, ASCO Chairperson said that ?Securities companies are financial intermediary giving