/ Derivatives Businesses Securities Brokerage Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed
/ Registration • Brokerage о Securities Brokerage о Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о
unitholders. (a) Decreasing minimum subscription (b) Increasing in channel of selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing
whether such service provider is borrower's or lender's counter party of agent. Undertaking securities borrowing and lending business under the first paragraph shall, however, not include the followings
broker or an agent to effectuate trading in debt securities between dealers in normal course of business, the service of which is carried out by collecting information on offer for sale or purchase of such
---------------- หรือ เลขทะเบียนนิติบุคคลที่ออกโดยกระทรวงพาณิชย์ : ให้ระบุเลขทะเบียนเฉพาะกรณีที่ค้นหาบริษัทไม่พบเท่านั้น ยืนยันเบอร์มือถือด้วย OTP Reference: OTP Key: Best view with 1024 x 768 or higher
such inside information; (4) Director, sub-committee member, representative of a juristic person, agent, worker, employee, advisor or operator in a governmental agency, the SEC Office, the Securities