statement requiring derivatives broker to be responsible for such assets in full amount. Clause 3 A derivatives broker shall not appoint any person as its agent to undertake custody of assets of clients
Public Hearing System :: สำนักงานคณะกรรมกำกับหลักทรัพย์และตลาดหลักทรัพย์ แบบสำรวจความคิดเห็น Hearing Home ร่างประกาศการแก้ไขหลักเกณฑ์การตั้งตัวแทนขายหรือรับซื้อคืนหน่วยลงทุน (selling agent)และ
Licensed Derivatives Brokers (No. 3) dated 28 February 2012. 2 Clause 3 A derivatives broker shall not appoint any person as its agent to undertake custody of assets of clients. Clause 4 In undertaking
Office of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules for the Undertaking of Derivatives Business for Licensed Derivatives Broker dated 22 December 2004, the Office of the
------------------------- Securities Issuance and Takeover Asset Management Securities Brokerage/Dealer/Underwriter and Financial Advisors Marketing IP/FG Ombudsmen Private Fund Marketing Representative (PF) Accountants and Auditors