revenues from normal course of business. As a matter of fact, such revenues were classified as other incomes from acting as agent for selling of goods. The revenues were not generated from the actual
agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund
(No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund supervisor; (4) a
verification (for example limited or reasonable assurance) of their performance level against each SPT for each KPI by a qualified external reviewer with relevant expertise3, such as an auditor or an
prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a
or not complying with any significant approval requirements for the offering of trust unit within the period of 5 years before applying for the offering; (2) pose no reasonable doubt to its ability to
revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the
retail shops as well as Tesco Lotus will offer paying agent service for investment in mutual fund at every branch across the country. In the future, they might move forward to other capital market
เอกสารรับฟังความคิดเห็น เร่ือง ร่างประกาศการแก้ไขหลักเกณฑ์การตั้งตัวแทน ขายหรือรับซื้อคืนหน่วยลงทุน (selling agent) และหลักเกณฑ์เพิ่มเติมของบริษัทหลักทรัพย์ประเภท การเป็นนายหน้า ค้า และจัดจ าหน่าย