representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
When an intermediary has already entered into the transaction as prescribed in Clause 22, it shall disclose adequately and appropriately such transaction to a client or a representative of the client
Dept. 28 staff Finance and Administration Dept. 40 staff Broker-Dealer Supervision Dept. 32 staff Investment Management Supervision Dept. 39 staff Licensing Dept. 31 staff Accounting Supervision Dept. 20
due to the current objects do not support future activities regarding (1) wholesale and retailing activities (2) domestic and oversea trading activities and (3) broker and agent activities, of chemical
underwriting service - Investment advisory service - Derivatives trading agent business - Securities borrowing and lending service - Sales and redemption representative Overview of the Stock Exchange of Thailand
choose the insurance on the needs of customers. 4.3 Mutual Fund Selling Agent Service is a selling agent of the unit trusts for many asset management companies, which offer mutual funds of various types
September 2017 Page 7/22 4.3 Mutual Fund Selling Agent Service is a selling agent of the unit trusts for many asset management companies, which offer mutual funds of various types from debt instruments