broker to act as the client’s agent in derivatives trading, provided that the written agreement the derivatives broker has made with the client shall contain no statement which enables the derivatives
shall enter into a written agreement with the client who has assigned the derivatives broker to act as the client’s agent in derivatives trading, provided that the written agreement the derivatives broker
Commission No. KorThor. 66/2547 Re: Maintenance of Financial Positions of Person Licensed as Derivatives Agent dated 22 December 2004 as amended by the Notification of the Securities and Exchange Commission No
Notification of the Securities and Exchange Commission No. KorThor. 66/2547 Re: Maintenance of Financial Positions of Person Licensed as Derivatives Agent dated 22 December 2004 as amended by the Notification of
Microsoft Word - Orkhor5_2553_attach2.doc สรุปผลการรับฟงความคิดเหน็เรื่องการแกไขหลักเกณฑการตั้งตัวแทนขายหรือรับซื้อคืนหนวยลงทุน (selling agent) จากการรับฟงความคิดเหน็จากประชาชนทัว่ไปทางเว็บไซต
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
duties, a competent officer shall have the power to: (1) enter the premises of a special purpose juristic person, debenture holder representative, trustee or agent who collects and receives payments of
B.E. 2558] (1) enter the premises of a special purpose juristic person, debenture holder representative, trustee or agent who collects and receives payments of debts of the special purpose juristic