, mobile phone numbers, email, addresses on identification cards, and gender, etc. The types of personal data the SEC Office will collect depends on the necessity of the SEC Office in the carrying out of
/ Derivatives Businesses Securities Brokerage Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed
/ Mrs. นางสาว/ Ms. ชื่อ/ Name: นามสกุล/ SurName: โทรศัพท์/ Telephone No.: มือถือ/ Mobile No.: Email: รายละเอียด/ Details: แนบเอกสารเพิ่มเติม Add More Submit Delete ยืนยันการล้างข้อมูล × คุณต้องการ
important information and supporting evidence to SEC Complaint Center. This includes the followings; 1. Personal information of the complainant, e.g., full name, mailing address and phone number; 2. Power of
/ Registration • Brokerage о Securities Brokerage о Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о
unitholders. (a) Decreasing minimum subscription (b) Increasing in channel of selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing
whether such service provider is borrower's or lender's counter party of agent. Undertaking securities borrowing and lending business under the first paragraph shall, however, not include the followings
broker or an agent to effectuate trading in debt securities between dealers in normal course of business, the service of which is carried out by collecting information on offer for sale or purchase of such