-2 / 18-3 Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary Name of Company
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
” means a securities company licensed to undertake securities business in the category of private fund management; “Marketing Representative of Private Funds” means a person appointed by a private fund
Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private
impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of
capital management; (c) securities borrowing and lending; (d) inter-dealer brokerage. (2) those persons appointed to perform functions at overseas branch office or overseas representative office; (3) the
brokerage. (2) those persons appointed to perform functions at overseas branch office or overseas representative office; (3) the appointment of a person, who has registered as bond trader with the Thai Bond
branches or representative offices anywhere. SECTION 19.4 The SEC Office has the power and duty to: (1) perform any act for the implementation of the SEC’s resolutions; (2) supervise compliance and
2005 shall be repealed. Clause 2. In this Notification: “representative” means a representative under the Notification of the Securities and Exchange Commission governing rules, conditions and procedures