of 2012. The marketing and distribution of products must be done through local intermediaries in the host country, including SEC-licensed investment unit brokers, dealers and underwriters who will be
Securities brokers, dealers and underwriters ë Derivatives agents/dealers ë Mutual fund/private fund/derivatives management ë Venture capital management ë Securities/derivatives investment advisors ë
management companies, investment unit brokerage companies; directors of the Thai BMA; directors of inter-dealer brokers (IDB); 2. Fund managers, derivatives fund managers, property fund managers
ประเทศ (Overseas Brokers & Dealers) ผูป้ระกอบธุรกิจเปิดบญัชี Custodian และ FCD กบั Custodian Bank และ/หรือกบัตวัแทนซ้ือขายใน ต่างประเทศ (Overseas Brokers & Dealers) กรณีท่ีตวัแทนซ้ือขาย ในต่างประเทศมี
The Securities and Exchange Commission (SEC) is responsible for oversight of securities markets and has authority over listed companies and other issuers; dealers, brokers, and fund managers; and the
supervising services of insurance agents and brokers have been amended and added, including the use of electronic methods in insurance business. Other amendments include increased penalties for fraud offences
derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident
, ADVISERS, AGENTS AND OTHER INDEPENDENT THIRD PARTIES A. Directors and Senior Management Provide the names, nationality, addresses and functions of the issuer’s directors and senior management. B. Corporate
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may