Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and
)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch
) |- Engagement in Related Businesses | - |- OTC & Derivatives Businesses (Section 98(4)) | - |- Engagement in Other Businesses (Section 98(8)) | - |- Selling Agents (Section 100) |- Internal operation of
/25) |- Engagement in Related Businesses | - |- OTC & Derivatives Businesses (Section 98(4)) | - |- Engagement in Other Businesses (Section 98(8)) | - |- Selling Agents (Section 100) |- Internal
Securities brokers, dealers and underwriters ë Derivatives agents/dealers ë Mutual fund/private fund/derivatives management ë Venture capital management ë Securities/derivatives investment advisors ë
the collected data. ( 8 record(s) found) No. Report Name Data File As of Data Definition 1 Quarterly Assets, Liabilities and Shareholders Equities of All Securities Companies and Derivatives agents
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By
Securities and Exchange Commission No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing
agents (natural persons); 4. Financial advisors, marketing agents of private funds/credit rating agencies for mutual funds; 5. Supervisors, custodians, marketing agents of private funds/credit rating