Microsoft Word - hearing _selling agent & LBDU_ 04122552.doc เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการตั้งตวัแทน ขายหรือรับซื้อคืนหนวยลงทุน (selling agent) สํานักงานคณะกรรมการกํากับหลัก
of a brokerage firm to perform duty as local intermediary in Thailand (issued by Qualifying CIS Operator) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the
) [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator (issued by CIS Operator) [ ] 5. Evidence on the appointment of an authorised person of CIS Operator
case of foreign ETF established as trust [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator (issued by CIS Operator) [ ] 5. Evidence on the appointment
. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the lender or its agent , do so with an understanding
for Securities Borrowing and Lending (No. 2) dated 26 May 1999. (Translation) -2- Clause 3. The business operator, whether acting as the borrower or its agent, shall not borrow or arrange to borrowing
investment company or trust certificates of unit trust. In this regard, either investment company or unit trust shall have objective to invest in securities or financial instruments. “CIS operator” means any
Operator) [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator (issued by CIS Operator) [ ] 5. Evidence on the appointment of an authorised person of CIS