accordance with the category or characteristic as notified by the Office. Clause 3. The business operator, whether acting as the borrower or its agent, shall not borrow or arrange to borrowing for the purpose
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
-2 / 18-3 Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary Name of Company
capital management; (c) securities borrowing and lending; (d) inter-dealer brokerage. (2) those persons appointed to perform functions at overseas branch office or overseas representative office; (3) the
brokerage. (2) those persons appointed to perform functions at overseas branch office or overseas representative office; (3) the appointment of a person, who has registered as bond trader with the Thai Bond
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
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
” means a securities company licensed to undertake securities business in the category of private fund management; “Marketing Representative of Private Funds” means a person appointed by a private fund
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and