securities (securities company and commercial bank with securities underwriting license) know individual client before selling client any product through suitability test. The test will be beneficial to
-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 underwriting; (5) mutual fund management; (6) private fund management; (7) other businesses relating to securities as specified by the Minister upon the recommendation of the SEC. "securities
. 61/2543 Rules, Conditions and Procedures for Operational Control in Securities Underwriting 23/11/2000 01/01/2001 2. Notification of the Securities and Exchange Commission KorChor. 9/2555
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
Procedures for Controlling Operation of Securities Underwriting dated 3 August 2009; (13) The Notification of the Capital Market Supervisory Board No. Tor Thor. 12/2555 Re: Rules, Conditions and Procedures for
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re