Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
customer. Derivatives broker must send the confirmation statement and the evidence of margin call under the first paragraph to customers by the method agreed with the customers within the next business day
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
into its custody; (2) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; (3) System to ensure that the
2 แบบรายงานการปฏิบัติหน้าที่ของผู้แนะนำรายชื่อลูกค้า (introducing broker agent) ของผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล ผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล บริษัท
, willfully or negligently, of the derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. Clause 4. In taking
company as its representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer
supporting agent pursuant to the law governing agricultural futures trading shall submit their application for approval to the Office of the Securities and Exchange Commission together with supporting
derivatives broker in the first paragraph, derivatives broker shall trade in derivatives only with institutional investor counter party. Clause 4. The provision of Clause 12 only with respect to an arrangement