: “intermediary” means a securities company or a derivatives intermediary; “fund management company” means a securities company licensed to undertake securities business in the category of mutual fund or private
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
: Determination of Fees for Undertaking Business According to Licenses (No. 3) dated 24 April 2017 (effective on 16 May 2017). 3 (5) private fund management. 1The provision under Paragraph 1 shall not be applicable
of Derivative Services by Securities Companies. Division 2 Additional Rules for Securities Intermediaries in the Category of Mutual Fund Management or Private Fund Management _______________________
and startups to raise fund through crowdfunding and private placement. This approach also aims to promote SMEs and startups to strengthen their adaptability and participate in business development in
private sector to help enhance the public sector operation along the line with international standard. SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board
หน้าซื้อขายหลักทรัพย์ (broker) และการค้าหลักทรัพย์ (dealer) ที่มิใช่ตราสารแห่งหนี้ แนวปฏิบัติในการประกอบธุรกิจ broker โดยยกเลิกข้อกำหนดที่ซ้ำซ้อน เพื่อให้ง่ายต่อการใช้งาน (6) ปรับปรุงการขอความเห็นชอบ