operator: Name of local representative: Name of local intermediary: [in case of an ETF, please state the names of market maker and participating dealer of ETF] Warnings: An investor considering the purchase
. In the case that any party claims to be an intermediary, either as digital asset exchange, broker or dealer, SEC suggests that investors should verify their legitimacy via the list provided on the SEC
/Documents/ActandRoyalEnactment/Act/translate-trustact.doc 6409pe.doc electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market products
Data service - SECOpenData TH Home Fund Mutual Fund Private Fund Provident Fund REIT / INFRA / PROP Page Debenture Equity ESG Data Digital Asset Intermediary & Professional Intermediary
Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand ( issued by CIS Operator ) [ ] 4
under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand (issued by CIS Operator
investor. Please specify the name of the intermediary / financial advisor ……………………………………………………………………………………………………………………….. Director. Please specify the name of the listed company / issuer
Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary 13/08/2015 16/09/2015 Notification of the Office of the Securities
Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary 13/08/2015 16/09/2015 Notification of the Office of the Securities and Exchange