. 23/2544 Re: Rules, Conditions and Procedures for Investment Advisors and Appointment of Investment Advisory Agents By virtue of Section 14, the second paragraph of Section 100 and Section 115 of the
Appointment of Agents for Selling Investment Unit or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds dated 3 August 2009 shall be repealed. Clause 2 In this
Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds (No. 2) dated 21 July 2014. However, the grace period for
Board No. TorKhor. 56/2552 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Unit or Receiving Requisition of Investment Unit Redemption and Marketing Representatives
Procedures for Investment Advisors and Appointment of Investment Advisory Agents By virtue of Section 14, the second paragraph of Section 100 and Section 115 of the Securities and Exchange Act B.E. 2535 (1992
of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment
usually represented themselves as agents of foreign derivatives brokers licensed by foreign regulators and thus required no authorization from the SEC. Falling into the trap by transferring money to these
)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch