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

of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment

Appointment of Agents to Facilitate Passing on of Orders for Trading of Securities or Derivatives The Notification of the Office of the Securities and Exchange Commission No. SorThor. 1/2561 Re: Rules in

& 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

SEC has revised rules to make it easier for companies to engage in this business, for example, abolishing the rule requiring unit-selling agents to sell investment units of different management

performance of introducing broker agents, and (3) establishment of compliance unit of digital asset business operators to be in line with the regulations governing securities business operators and

of Investment Units dated 20 July 1992, and (2)  Notification of the Office of the Securities and Exchange Commission regarding Appointment of Investment Unit Selling and Redemption Agents dated 6