1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes

securities trading center, which shall comply with at least the rules, conditions and procedures for share offering of limited companies under the Civil and Commercial Code in a general case or to the general

-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in

following categories: (1) securities brokerage, securities trading or securities underwriting; (2) investment advisory providing investment planning to clients or using software programs in providing services

trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment

. “investment consultant” means a person providing investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product

relating to financial business by an authority in charge. In addition, the management company shall not have records on offences relating to unfair securities trading or mismanagement in the manner of

other laws: (a) securities financing business; (b) brokerage, dealing or underwriting of any securities, which is not limited to debt securities or the units ; (c) brokerage, dealing, or underwriting

Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti­Money Laundering Office (AMLO)’s amendment to the Anti-Money

of the following licenses shall pay a fixed rafe fee: (1) securities financing 500,000 baht per year (2) inter-dealer brokerage 50,000 baht per year (3) venture capital fund management 50,000 baht per