Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the
or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other
high emissions are most affected. • Substitution Risk: Will customers seek lower carbon alternatives? Emission-intensive companies will be most affected • Technology Risk: Will technologies be developed
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
of Definitions of Institutional and High Net Worth Investors 09/07/2012 01/08/2012 3. Notification of the Securities and Exchange Commission KorNor. 23/2544 Re: Rules, Conditions and Procedures for
receipts to high net worth investors, except institutional investors, must be done through intermediaries.Senior Assistant Secretary-General Prakid Punyashthiti said: ?The current rules allow high net worth