agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund
(No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund supervisor; (4) a
selling agent of unit-linked life insurance policy shall be investor contact who performs duty of selling unit-linked life insurance policy approved by the Office Chapter 2 Renewal for Approval
insurance to be a selling agent of unit-linked life insurance policy shall be investor contact who performs duty of selling unit-linked life insurance policy approved by the Office Chapter 2 Renewal for
insurance to be a selling agent of unit-linked life insurance policy shall be investor contact who performs duty of selling unit-linked life insurance policy approved by the Office Chapter 2 Renewal for
) B.E. 2551 (2008) stipulates that the issuance of rules, conditions and procedures for securities brokerage and securities dealing and application for and approval of appointment of any person as agent
brokerage and securities dealing and application for and approval of appointment of any person as agent or broker of a securities company is under the authority of the Capital Market Supervisory Board, it is
brokerage and securities dealing and application for and approval of appointment of any person as agent or broker of a securities company is under the authority of the Capital Market Supervisory Board, it is
broker to act as the client’s agent in derivatives trading, provided that the written agreement the derivatives broker has made with the client shall contain no statement which enables the derivatives