brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “agent” means a person who is appointed by a securities company as its
, mutatis mutandis. Clause 23 An applicant shall appoint a local representative in the Kingdom of Thailand for the purpose of coordinating and contacting with any person including receiving notice, order
appointed the following person to be an infrastructure fund manager who has qualified and not possessed any prohibited characteristic as stipulated by the Notification concerning personnel , it shall be
following person to be an infrastructure fund manager who has qualified and not possessed any prohibited characteristic as stipulated by the Notification concerning personnel, it shall be deemed that the
characteristic of the personnel in the capital market business under Clause 31(2) of the Notification No. TorLorThor. 8/2557 which has been promulgated in replacement of the said four notifications.Clause 3(15) of
for DSI to consider further legal action. In this connection, such criminal complaint resulted in Mr. Nantawat having a prohibited characteristic for acting as a capital market auditor
) |- Branch Offices / Representative Offices (Section 92, 93) | - |- Branches (Section 92) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information
109) |- Disclosure | - |- Advertising (Section 98(10)) | - |- Securities Businesses (Section 108) |- Branch Offices / Representative Offices (Section 92, 93) | - |- Branches (Section 92
, 106) |- Reporting Requirements (Section 109) |- Disclosure | - |- Advertising (Section 98(10)) | - |- Securities Businesses (Section 108) |- Branch Offices / Representative Offices (Section 92, 93