category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to
. Clause 3. In this Notification, “Securities company” means any company licensed to undertake securities business in the category of securities brokerage, securities dealing, investment advisory services
รก ำกับดูแลธุรกิจ LBDU ที่ต้องด ำเนินกำรตำมระบบงำนองค์ประกอบ 8 ด้ำน ในกำรด ำเนินธุรกิจเพ่ือให้บรรลุเป้ำหมำย fair dealing (ตำมประกำศแนวปฏบิัติที่ นป.1/2560) และเหลื่อมล้ ากับอัตราค่าธรรมเนียมของ LBDU
same period last year, mainly to compensate for the cost of dealing with the COVID-19 disease problem, while capital expenditures decreased from the same period last year which was in line with the
undertake securities business in the category of securities brokerage, securities dealing or underwriting of investment units. Enclosure 4 Enclosure 4 http://www.sec.or.th/ 2 1.5 Filing of the registration
” means a license to undertake derivatives business in various categories consisting of: (a) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management
to undertake derivatives business in various categories consisting of: (a) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management; (2
) Staff dealing as specified in Part 4; Management company shall have an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create conflict of