CMSB - Torthor 31-2556 - branch office of intermediary - TRANSLATED VERSION As of January 15, 2015 Readers should be aware that only the original Thai text has legal force and that this English

Microsoft Word - hearing _selling agent & LBDU_ 04122552.doc เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการตั้งตวัแทน ขายหรือรับซื้อคืนหนวยลงทุน (selling agent) สํานักงานคณะกรรมการกํากับหลัก

of operational function other than sub clause (1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker

of operational function other than sub clause (1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker

Notification shall apply to outsourcing function related to business operation to a third party, excluding the following cases: (1) an appointment of a third party to be an agent or a broker of a securities

Notification shall apply to outsourcing function related to business operation to a third party, excluding the following cases: (1) an appointment of a third party to be an agent or a broker of a securities

improper investments or transactions, an intermediary shall include the following conditions in the agreement with a client for providing services as derivatives agent: (1) the client agrees to notify and

improper investments or transactions, an intermediary shall include the following conditions in the agreement with a client for providing services as derivatives agent: (1) the client agrees to notify and

Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall include the

intermediary as capital market servicer renders credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the