various categories consisting of: (1) equity brokerage, (2) equity dealing, (3) equity underwriting, (4) investment advisory service, and (5) securities borrowing and lending. 

companies that operate business in the categories of securities brokerage, dealing, investment advisory and underwriting, as well as mutual fund management, private fund management, venture capital

Some business operators wish to provide services of specific securities business, for example, brokerage,  dealing and underwriting of equity instruments or private fund management, but are unable to

brokerage, securities dealing, investment advisory, securities underwriting, mutual fund management, private fund management and derivatives agents, etc. 

SEC has proposed additional risk management tools that asset management companies are able to select and use when dealing with events or factors causing investors to panic-sell or redeem their

self-assessment survey in order to collectively find an appropriate direction or outcome in dealing with the issue.SEC also prioritizes and considers this matter to be crucial. Therefore, SEC has set

-up capital of 500 million baht for undertaking the following businesses ? brokerage, dealing and underwriting of securities, investment advisory, mutual fund/private fund management, securities

Limited Brokerage Dealing Underwriting (LBDU) to provide the said services in a bid to facilitate access to investment in foreign products for the investors. In this regard, offering of ASEAN CIS will be

apply for the Type D license (limited brokerage, dealing or underwriting of investment units) and investment advisory service license. The revisions would help investing public to have greater access to

Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the