requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed
| - |- Business Continuity Management (BCM) | - |- Port Investment of Derivatives Agents | - |- Branch Office | - |- Foreign Derivatives Agent |- Margin Requirement (Section 18) |- Other related business (Section
Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds (Codefied
TorKhor. 35/2553 Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds
expansion of the scopes of work of derivatives investor contact type B (limited to gold futures) and selling agents of gold futures brokers to cover provision of services relevant to the said precious metals. # # #
addition, the SEC will extend the scope of services for category B derivatives investor contact limited to gold derivatives to cover precious metals derivatives, and will allow selling agents whose services
& Derivatives Businesses (Section 98(4)) | - |- Engagement in Other Businesses (Section 98(8)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment
)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch
Other Businesses (Section 98(8)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and