Bangkok, May 9, 2014 ? The SEC supports Thailand Post, Counter Service at 7-11 and other leading retail shops, and Tesco Lotus to be paying agents for investment in mutual funds by this June. With
requires that the operatives are thoroughly acknowledged and of understanding in their roles and the limits of their respective power.SEC and the aforementioned five state departments have partnered and
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and
Bangkok, July 7, 2014 ? The SEC revised rules on mutual fund selling agents to allow additional channels for investment in mutual funds, expected to put into effect by early August 2014.Vorapol
derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident
groups more efficiently, and procedures for clearer communication between selling agents and investors. The relevant regulations cover four key areas, namely: (1) the organizational structure, the roles
วัย เป็นต้น (3) กำหนดให้ผู้ประกอบธุรกิจนายหน้า ค้า หรือจัดจำหน่ายหน่วยลงทุน (selling agents) มีหน้าที่ปฏิบัติให้เป็นไปตามหลักเกณฑ์การส่งเสริมการขายตามประกาศ AIMC โดยบริษัทหลักทรัพย์จัดการกองทุนรวม
the types of escrow agents permissible for crowdfunding portals; and 4) To allow non-retail investors and crowdfunding portals to form a mutual agreement on selection of escrow agent. The consultation
the types of escrow agents permissible for crowdfunding portals; and ?4) To allow non-retail investors and crowdfunding portals to form a mutual agreement on selection of escrow agent.? The consultation
requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed