Microsoft Word - hearing _selling agent & LBDU_ 04122552.doc เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการตั้งตวัแทน ขายหรือรับซื้อคืนหนวยลงทุน (selling agent) สํานักงานคณะกรรมการกํากับหลัก
Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall include the
-dealer brokerage company, and registered derivatives intermediary; “intermediary’s board of directors” means the board of directors of an or a committee assigned by the board of directors of an
improper investments or transactions, an intermediary shall include the following conditions in the agreement with a client for providing services as derivatives agent: (1) the client agrees to notify and
standards of intermediary’s personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or
provider should not be allowed to access and disclose the intermediary’s information without consent, unless the intermediary is informed and gives a consent to do so, or such access and disclosure are made
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9