perform duty as director, manager or person with power of management or advisor of another securities company, which is in support of financial conglomerate of securities businesses, bringing about

of securities companies under (1) arranging an agreement for establishing a securities trading center in accordance with the rules specified in Clause 3; (3) offering innovative financial services that

. Where it appears that the provision of services by a branch office may cause damages to investors; or the continued operations of a branch office may damage the financial position and performance of a

court for an offence relating to property committed with dishonest intent: O yes O no 6.3 Having been a director, manager or person with managing power of a financial institution whose license has been

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

innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the Thai capital market; (2) having readiness for participating in a

. In this Notification, “Derivatives broker” means any company licensed to undertake derivatives business in the category of derivatives broker, but shall not include a financial institution under other

plans for the clients as well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution

well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution business ; (b) financial

of monies, goods or services, from any person other than standard commission or fee for its services; (4) receiving or being going to receive financial incentives in order to favor the interest of one