Providing Compliance Unit of an Intermediary
representative มอบหมายหน้าท่ีควบคมุวงเงิน ให้แก่ผู้รับผิดชอบในการควบคุมวงเงิน local intermediary แจ้งจ านวนเงินจาก การซื้อ/ขายหน่วยใหแ้ก่ผู้รับผิดชอบ ในการควบคุมวงเงนิ ผู้ลงทุนซื้อ/ขาย ผู้ลงทุนซื้อ/ขาย หน่วยลงทุน
office; or (3) oversea representative office. “online branch office” means a branch office of an intermediary of which services are provided solely through computers or electronic devices linked to
) oversea branch office; or (3) oversea representative office. “online branch office” means a branch office of an intermediary of which services are provided solely through computers or electronic devices
Intermediaries - SECOpenData TH Home Fund Mutual Fund Private Fund Provident Fund REIT / INFRA / PROP Page Debenture Equity ESG Data Digital Asset Intermediary & Professional Intermediary
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
fund manager s; and (4) derivatives advisors. Division 1/1( Specific Regulations on Providing Services of Derivatives Dealer Clause 12/1 An intermediary shall shall arrange a procedure for ensuring that