CMSB - Torthor 31-2556 - branch office of intermediary - TRANSLATED VERSION As of January 15, 2015 Readers should be aware that only the original Thai text has legal force and that this English
Microsoft Word - hearing _selling agent & LBDU_ 04122552.doc เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการตั้งตวัแทน ขายหรือรับซื้อคืนหนวยลงทุน (selling agent) สํานักงานคณะกรรมการกํากับหลัก
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
, 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
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 Derivatives
of operational function other than sub clause (1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker
intermediary as capital market servicer renders credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the