brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “agent” means a person who is appointed by a securities company as its
brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “agent” means a person who is appointed by a securities company as its
(2008) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require
) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require prior approval from
of MTN Program…………………………………………………… Financial Adviser…………………………………………………………… Underwriter…………………………………………………………………… Representative of Debt Securities Holders………………………… Registrar and Paying Agent
e-service Online Submission See canceled document Derivatives Agent >> Branch Office Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market Supervisory
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
Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager
) [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator (issued by CIS Operator) [ ] 5. Evidence on the appointment of an authorised person of CIS Operator