in the Category of Investment Advisory Service B.E. 2545 By virtue of Section 7 and the fourth paragraph of Section 90 of the Securities and Exchange Act B.E. 2535, which is an Act containing
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
investment characteristics similar to unit; “ derivatives broker ” means any person who obtains the derivatives business license in the category of derivatives brokerage under the Derivatives Act B.E. 2546
; “derivatives broker” means any person who obtains the derivatives business license in the category of derivatives brokerage under the Derivatives Act B.E. 2546 (2003). Clause 3 Maintenance of the net capital by
under the Securities and Exchange Act B.E. 2535 is hereby repealed. Clause 2 Person intending to apply for operate securities business license in the category of mutual fund management shall be limited
business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment advisory service, ranging from the level of the
Family Corporation Company Limited Between August 11, 2017 and August 5, 2020 Family Corporation Company Limited offered for sale newly issued securities in the category of promissory note without
) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 Settlement Committee Meeting No. 10/2017