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:
livelihoods and increase prosperity Ensuring environmental stewardship towards a zero-carbon society We are committed to preserving and reducing the impact of climate change B e a B a n k o f S u s t a i n a b
called ?Financial Literacy: Road to Thailand?s Prosperity?.On the promotion and development of research papers on capital market issues, the SEC in collaboration with leading business schools of the
been founded in the Project called ?Financial Literacy: Road to Thailand?s Prosperity?, On the promotion and development of research papers on capital market issues, the SEC in collaboration with
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
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...
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