In this Notification: "derivatives dealer" means a person holding a license to undertake a derivatives business in the category of derivatives dealer; "institutional investor" means an institutional
In this Notification: "derivatives dealer" means a person holding a license to undertake a derivatives business in the category of derivatives dealer; "institutional investor" means an institutional
Investment advisors: “Any person who, for compensation, engages in the advisability of investing.” Broker/Dealer: Broker executes trades for clients / dealer executes trades for own account 90% of Investment
.: _____________________________ Fax No.: _________________________ (please use an enclosure if there is more than one market maker) Part D: Participating Dealer (PD) of Foreign ETF in Thailand 18) Name of Participating Dealer
. KorThor. 12/2553 Re: Determination of Undertaking not Deemed as a Derivatives Dealer By virtue of Section 3 and Section 9 of the Derivatives Act B.E. 2546 (2003) which contains certain provisions relating
/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of Section 16 of the
: ✓ is licensed or otherwise authorised to conduct the relevant financial advisory services in a participating ASEAN country, and is subject to supervision by the regulatory authority in that country
Commission Notification of the Securities and Exchange Commission No. KorThor. 45/2547 Re: Determination of Undertaking which is not Deemed to be A Derivatives Dealer By virtue of Section 3 and Section 9 of
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part F: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority
Provincial Waterworks Authority Attention: Directors and Managers The Stock Exchange of Thailand CC: Secretary-General of the Office of the Securities and Exchange Commission, Thailand Attachment: Map of the