direct connection to the undertaking of securities or derivatives business; “intermediary” means a securities company or derivatives intermediary, excluding venture capital fund management company or inter
representative มอบหมายหน้าท่ีควบคมุวงเงิน ให้แก่ผู้รับผิดชอบในการควบคุมวงเงิน local intermediary แจ้งจ านวนเงินจาก การซื้อ/ขายหน่วยใหแ้ก่ผู้รับผิดชอบ ในการควบคุมวงเงนิ ผู้ลงทุนซื้อ/ขาย ผู้ลงทุนซื้อ/ขาย หน่วยลงทุน
Capital Adequacy of Some Specific Intermediaries (No. 2) dated 20 February 2017. Clause 2 In this Notification: “intermediary” means an intermediary engaging in the business of investment advisory service
regulations under Chapter 7/1. Clause 4 In the case where there is a necessary and reasonable ground, the SEC Office may grant a waiver for an intermediary from complying with any rule under this Notification
an intermediary as capital market servicer renders credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which
Mr. Yongyuth Ngamkaiwan Mr. Yongyuth Ngamkaiwan, the representative of the planner (TUCC), responsible for the operation of Thai Unique Coil Center Public Company Limited (TUCC), failed to
Mr. Yongyuth Ngamkaiwan Mr. Yongyuth Ngamkaiwan, the representative of Thai Unique Coil Center Public Company Limited (TUCC), responsible for the operation of TUCC, failed to supervise TUCC to