Microsoft Word - ELCID_Telemax Capital Increase       No. FER 600195 March 23, 2018 Subject : Notification of the capital increase and investment plan of its subsidiary Attention : President, The

Microsoft Word - hearing _selling agent & LBDU_ 04122552.doc เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการตั้งตวัแทน ขายหรือรับซื้อคืนหนวยลงทุน (selling agent) สํานักงานคณะกรรมการกํากับหลัก

shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity

been audited by an auditor approved by the Office shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such

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

ตั้งตัวแทน ขายหรือรับซื้อคืนหน่วยลงทุน (selling agent) และหลักเกณฑ์เพิ่มเติมของบริษัทหลักทรัพย์ประเภท การเป็นนายหน้า ค้า และจัดจ าหน่ายหลักทรัพย์ที่เป็นหน่วยลงทุน (Limited Broker Dealer Underwriter

/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

, 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. (Translation) 2 Clause 4

derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. (Translation) 2 Clause 4. In taking custody of customer

of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and Section 18 of the