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

of a brokerage firm to perform duty as local intermediary in Thailand (issued by Qualifying CIS Operator) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the

. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the lender or its agent , do so with an understanding

for Securities Borrowing and Lending (No. 2) dated 26 May 1999. (Translation) -2- Clause 3. The business operator, whether acting as the borrower or its agent, shall not borrow or arrange to borrowing

) [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator (issued by CIS Operator) [ ] 5. Evidence on the appointment of an authorised person of CIS Operator

case of foreign ETF established as trust [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator (issued by CIS Operator) [ ] 5. Evidence on the appointment

) [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator (issued by CIS Operator) [ ] 5. Evidence on the appointment of an authorised person of CIS Operator

for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures

operator, futures trading manager or futures supporting agent pursuant to the law governing agricultural futures trading shall submit their application for approval to the Office of the Securities and

investment company or trust certificates of unit trust. In this regard, either investment company or unit trust shall have objective to invest in securities or financial instruments. “CIS operator” means any