increase flexibility and effectiveness in business operations by delegating other persons, who are prepared to operate the business under the principle of principal-agent relationship. SEC has held three
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
;security agent เก็บรักษาไว้ได้หรือไม่ และหากบริษัทจัดการกองทุนรวมไม่สามารถดำเนินการเช่นนั้นผู้ดูแลผลประโยชน์ของกองทุนรวมจะมีความผิดฐานใดหรือไม่ คำตอบ:
“selling agent” means a securities company holding a securities underwriting license whereby selling of units is permitted; (17) “registered capital” means the amount of money which a management company
(1) or (2), excluding any provident fund. (16/1)3 “ selling agent ” means a securities company holding a securities underwriting license whereby selling of units is permitted; (17) “ registered capital
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