…………………………………………………………………… Representative of Debt Securities Holders………………………… Registrar and Paying Agent…………………………………….……… Warnings: “Prior to making an investment decision, investors should exercise their own judgment when considering
.... Risk Disclosure Statement for Futures and Options Trading in Derivatives Exchange Date……………………………… We,……………[company name]………….…,who are a derivatives agent, hereby certify that Mr/Miss/Mrs
under an employment agreement and receives salary, wage, or any other form of benefit. In the case that the context does not indicate otherwise, the term shall also include a life insurance agent of the
securities and derivatives business operators of all types, as follows: - broker, dealer and underwriter of investment units - broker of debt securities - dealer of debt securities - underwriter of debt
บุคคลที่มีส่วนเกี่ยวข้องในกิจการ และผู้ที่มีบทบาทหลักที่ปรากฏในโฆษณา ให้ปฏิบัติตามหลักเกณฑ์ ที่กำหนด (6) ยกเลิกการจัดให้มีผู้แนะนำรายชื่อลูกค้า (introducing broker agent: IBA) ของผู้ประกอบธุรกิจที่ให้
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
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, equity instruments, equity to
85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior