license (limited brokerage, dealing or underwriting of investment units). The minimum paid-up capital requirement will be lessen from 100 million baht to 10 million baht for the applicant that has no client
interest for a client or is necessary and useful for the client in the situation at that time; (2) dealing the transaction similarly to arm’s length transaction basis; (3) conforming to additional conditions
Ratio (Times) N/A N/A N/A Cash Basis (Times) 1.48 1.48 1.11 Dividend paid (%) * - 99.90 99.90 Per-Share Data and Growth Rate of All Types of Business 2016 2015 2014 Per-share Data Book Value per share
, conditions and procedures for brokerage and dealing in foreign securities issued under the law on securities and exchange; (2)1 “derivatives broker” means entity licensed to undertake derivatives business in
brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; (5) private fund management. 1The provision under Paragraph 1 shall not be applicable to a licensee under Paragraph
: (1) securities brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; 2 Amended by the Notification of the Securities and Exchange Commission No. KorMor. 19/2560 Re
undertake securities business under this Act. "securities business" mean any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4