e-service Online Submission See canceled document Business Operation Rules >> Selling Agents (Section 100) Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and
e-service Online Submission See canceled document Business Operation Rules >> Selling Agents (Section 100) Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and
Questionnaire No. Particulars Firm's Reference /Guidance Notes Description 1 Does the audit firm design and implement the risk assesment process that includes the identification of quality objectives
| - |- Business Continuity Management (BCM) | - |- Port Investment of Derivatives Agents | - |- Branch Office | - |- Foreign Derivatives Agent |- Margin Requirement (Section 18) |- Other related business (Section
วัย เป็นต้น (3) กำหนดให้ผู้ประกอบธุรกิจนายหน้า ค้า หรือจัดจำหน่ายหน่วยลงทุน (selling agents) มีหน้าที่ปฏิบัติให้เป็นไปตามหลักเกณฑ์การส่งเสริมการขายตามประกาศ AIMC โดยบริษัทหลักทรัพย์จัดการกองทุนรวม
the types of escrow agents permissible for crowdfunding portals; and 4) To allow non-retail investors and crowdfunding portals to form a mutual agreement on selection of escrow agent. The consultation
the types of escrow agents permissible for crowdfunding portals; and ?4) To allow non-retail investors and crowdfunding portals to form a mutual agreement on selection of escrow agent.? The consultation
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
SHARE : SEC supports roles of Thailand Post and modern trade as paying agents for mutual funds Friday 9 May 2014 | No. 66 / 2014 Bangkok, May 9, 2014 ? The SEC supports Thailand Post, Counter Service at 7
) Related Service Providers : include fund supervisors, (sub-) custodians, proxy advisers, investment consultants and trustees who are agents with responsibility for the maintenance and safekeeping of the