e-service Online Submission See canceled document Derivatives Agent >> Paid up Capital Type Title Section See Document Status Notified Date Effective Date 1. Notification of the Securities and
e-service Online Submission See canceled document Derivatives Agent >> Activities NOT deem TO be classified AS operating securities business Type Title Section See Document Status Notified Date
(change agent) เพ่ือขับเคลื่อนเรื่องคุณธรรมความโปร่งใสและการต่อต้านทุจริตคอร์รัปชัน (แล้วเสร็จ ไตรมาส 1/2565) - มีการสร้างความตระหนักรู้จากผู้บริหารสู่พนักงาน โดยกลุ่มผู้บริหารสื่อสารกับ พนักงานในสายงาน
principal, whose name has not been revealed, or an agent without disclosing the name of any person above in any action related to the derivatives trading account of such person. Furthermore, they must not
SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program
increase flexibility and effectiveness in business operations by delegating other persons, who are prepared to operate the business under the principle of principal-agent relationship. SEC has held three
transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended
;security agent เก็บรักษาไว้ได้หรือไม่ และหากบริษัทจัดการกองทุนรวมไม่สามารถดำเนินการเช่นนั้นผู้ดูแลผลประโยชน์ของกองทุนรวมจะมีความผิดฐานใดหรือไม่ คำตอบ:
whether such service provider is borrower's or lender's counter party of agent. Undertaking securities borrowing and lending business under the first paragraph shall, however, not include the followings
derivatives agent; (3) person licensed to provide services as securities registrar, excluding persons licensed to provide services as securities registrar under the Notification of the Securities and Exchange