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
changing environment. With respect to expansion of investor base, the SEC agreed with ASCO in that ?introducing agent? service will be provided. The service provider will not be limited to financial
derivatives agent; (3) person licensed to provide services as securities registrar, excluding persons licensed to provide services as securities registrar under the Notification of the Securities and Exchange
ก็ดี ส านักงานพบว่า นิติบุคคลผู้ยื่นขอรับความเห็นชอบบางประเภท ได้แก่ บริษัทหลักทรัพย์ (“บล.”) ตัวแทนในการซื้อขายหน่วยลงทุนในประเทศ1 (“selling agent”) และตัวแทน ซื้อขายสัญญาซื้อขายล่วงหน้า (“ตัวแทน
contact that is authorized to analyze securities investments, and Category B investor contact referring to investor contact that is unauthorized to analyze securities investments; “investment advisory agent