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
business in the category of securities brokerage, securities dealing, securities underwriting or mutual fund management, excluding the financial institution established under other law and licensed to
for an Approval of Work Systems Relating to Undertaking of Securities Business in the Category of Investment Advisory Service of Licensed Securities Companies 4. Notification of the Securities and
misconduct related to the offences of the investment consultants. Following an inspection report of {X1}, which is licensed to undertake securities business in the category of limited brokerage, dealing and
redemptions of investment units; “Management company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Training institute” means Thailand
management; “Private fund manager” means a director or an employee of a securities company licensed to undertake securities business in the category of private fund management, who is authorized by such
. Report/Form (Notification of Securities and Exchange Commission) Form 90-11 Application for a License to Undertake Securities Business in the Category of Securities Borrowing and Lending 17. Circular 3