Bangkok, July 7, 2014 ? The SEC revised rules on mutual fund selling agents to allow additional channels for investment in mutual funds, expected to put into effect by early August 2014.Vorapol
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
groups more efficiently, and procedures for clearer communication between selling agents and investors. The relevant regulations cover four key areas, namely: (1) the organizational structure, the roles
e-service Online Submission See canceled document Business Operation Rules >> Selling Agents (Section 100) Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and
e-service Online Submission See canceled document Business Operation Rules >> Selling Agents (Section 100) Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and
e-service Online Submission See canceled document Business Operation Rules >> Selling Agents (Section 100) Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and
| - |- Business Continuity Management (BCM) | - |- Port Investment of Derivatives Agents | - |- Branch Office | - |- Foreign Derivatives Agent |- Margin Requirement (Section 18) |- Other related business (Section
วัย เป็นต้น (3) กำหนดให้ผู้ประกอบธุรกิจนายหน้า ค้า หรือจัดจำหน่ายหน่วยลงทุน (selling agents) มีหน้าที่ปฏิบัติให้เป็นไปตามหลักเกณฑ์การส่งเสริมการขายตามประกาศ AIMC โดยบริษัทหลักทรัพย์จัดการกองทุนรวม
the types of escrow agents permissible for crowdfunding portals; and 4) To allow non-retail investors and crowdfunding portals to form a mutual agreement on selection of escrow agent. The consultation
the types of escrow agents permissible for crowdfunding portals; and ?4) To allow non-retail investors and crowdfunding portals to form a mutual agreement on selection of escrow agent.? The consultation