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
: Proprietary Trading) โดยมีลกัษณะเป็นการก าหนดหนา้ท่ี ทัว่ไปของผูป้ระกอบธุรกิจทุกประเภท ในการบริหารจดัการ COI และ Prop Trade สรุปไดด้งัน้ี 1.1.1 หนา้ท่ีในการบริหารจัดการ COI - ก าหนดใหผู้ป้ระกอบธุรกิจตอ้งไม่กระท
private fund management company [unless indicated otherwise], including: (a) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of any
fund management company [unless indicated otherwise], including: (a) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of any securities
company [unless indicated otherwise], including: (a) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of any securities and; (b) a
Rules in Detail related to Proprietary Trading of Intermediaries
Capital Management B.E. 2545; (14) The Ministerial Regulation Concerning Approval for Undertaking Securities Business in the Category of Securities Brokerage, Securities Dealing or Securities Underwriting