Rules, ConditioRules, Conditions and Procedures for Appointment of Agents for Selling Investment ns and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of

requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed

| - |- Business Continuity Management (BCM) | - |- Port Investment of Derivatives Agents | - |- Branch Office | - |- Foreign Derivatives Agent |- Margin Requirement (Section 18) |- Other related business (Section

Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds (Codefied

  TorKhor. 35/2553 Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds

expansion of the scopes of work of derivatives investor contact type B (limited to gold futures) and selling agents of gold futures brokers to cover provision of services relevant to the said precious metals. # # #

addition, the SEC will extend the scope of services for category B derivatives investor contact limited to gold derivatives to cover precious metals derivatives, and will allow selling agents whose services

Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and

the collected data. ( 8 record(s) found) No. Report Name Data File As of Data Definition 1 Quarterly Assets, Liabilities and Shareholders Equities of All Securities Companies and Derivatives agents

Bangkok, July 7, 2014 ? The SEC revised rules on mutual fund selling agents to allow additional channels for investment in mutual funds, expected to put into effect by early August 2014.Vorapol