, securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the category of derivatives agent or derivatives dealer; Repealed 3 ; “Notification on Standard of
CIS Operator ) [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator ( issued by CIS Operator ) [ ] 5. Evidence on the appointment of an authorised person
a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function of disseminating or distributing documents or
. (UNOFFICIAL TRANSLATION) 8 Clause 17. The securities company shall not delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units
advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function of disseminating or distributing documents or
shall apply mutatis mutandis to the footnote of the advertisement. Clause 13. The securities company shall not delegate the function of advertising to a natural person appointed as an agent who sells or
statement requiring derivatives broker to be responsible for such assets in full amount. Clause 3 A derivatives broker shall not appoint any person as its agent to undertake custody of assets of clients
Licensed Derivatives Brokers (No. 3) dated 28 February 2012. 2 Clause 3 A derivatives broker shall not appoint any person as its agent to undertake custody of assets of clients. Clause 4 In undertaking
Company and its subsidiaries consists of agent fee income, interest income, gain on exchange rate and gain on short-term investment. For the three-month period ended 31 March 2019, other income totaled THB