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
activities to Related Service Providers but cannot delegate their stewardship responsibilities and must ensure they are carried out in accordance with their level of commitment to this Code. 3. The Principles
Re: Approval for Investor Contacts and Standards of Conduct dated 3 December 2004; “Authorized officer” means any person who is registered by the Stock Exchange as agent of securities company to trade
(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
on Appointment of Selling Agent to Increase Securities Distribution Channels ● Investor Education Program 31 GOAL 2 Promote and Develop Mechanism to Empower Investors ● Promotion of Good Corporate
financial advisor on the approved list of the SEC Office. “bondholders’ representative” means a bondholder’s representative whose name appears on the list of the persons who are qualified as bondholders
“selling agent” means a securities company holding a securities underwriting license whereby selling of units is permitted; (17) “registered capital” means the amount of money which a management company