: “intermediary” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
CIS operator ที่จะมาเสนอขายหน่วยลงทุนต่างประเทศในไทยได้โดยตรง โดยไม่จำเป็นต้องกำกับดูแลผ่านตัวแทนขายในไทย (local intermediary) ทั้งนี้ สำนักงานได้ดำเนินการยกร่างประกาศที่เกี่ยวข้องจำนวน 11 ฉบับ (+ Form
offered in Thailand This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the SEC Thailand within 45 days after the last day of each
clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “investment” means an acquisition, disposal or holding of
information related to clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “ investment ” means an acquisition
tables attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary; “ fund management company ” means a securities company licensed to undertake securities business in the
Exchange Act B.E. 2535 (1992) (SEA). 2 Local intermediary means an entity licensed to undertake securities business in the category of securities brokerage, including a securities company licensed to
attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary. “ fund management company ” means a securities company licensed to undertake securities business in the category
: “intermediary” means a securities company or a derivatives intermediary; “fund management company” means a securities company licensed to undertake securities business in the category of mutual fund or private