Microsoft Word - hearing _selling agent & LBDU_ 04122552.doc เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการตั้งตวัแทน ขายหรือรับซื้อคืนหนวยลงทุน (selling agent) สํานักงานคณะกรรมการกํากับหลัก
Notification, of an applicant, directors, managers and administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions
Notification: (1) “representative” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
) “representative” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private
. ----------------------------- Notification of the Securities and Exchange Commission No. SorNor. 31/2547 Re: Appointing System of Custodian Agent By virtue of Section 4(3)(G) of the Notification of the Securities and Exchange Commission No
with the Office, whose main objective is to promote and develop securities business in the category of asset management; 1“Custody agent” means any person whom a registered person appoints as an agent to
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the