Capital (Section 96) | - |- Revocation of License (Section 147) | - |- Decrease in Registered Capital (Section 98(1)) | - |- Fees (Section 14, 19) |- Business Conduct | - |- Securities Dealing (Section 114

, in case of securities companies, those who operate in the securities brokerage, dealing or underwriting of debt securities and Sukuk to register as a bondholders’ representative;             (2)  To

brokerage, (b) derivatives dealing, (c) derivatives advisory service, and (d) derivatives fund management.** Due to the revocation of its derivatives business license, the company has changed the name to be

) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses

give the opening keynote at the Dialogue. This EU-Asia Financial Services Dialogue is a great opportunity for representatives from several organizations to share experience in dealing with challenges

derivatives business operators, which provide services such as securities brokerage, securities dealing, investment advisory, underwriting, mutual fund management, private fund management and derivatives

securities business, including securities dealing, securities underwriting, proprietary investment and securities custody, have paid-up registered capital at the following different amounts

Bangkok, March 8, 2011 - The SEC is seeking public comment on the proposal to strengthen role of compliance unit of securities company in the category of securities brokerage, dealing and

any actions where conflicts of interest may arise, such as soft commission, related party transaction, proprietary trading and staff dealing. In addition, effective risk management system for

transition finance framework that aligns with the economic and social conditions of Asia, referencing the ASEAN Taxonomy, ASEAN Transition Finance Guidance, and Japan’s transition finance framework, with the