Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service
Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
) securities underwriting; (5) mutual fund management; (6) private fund management; (7) other businesses relating to securities as specified by the Minister upon the recommendation of the SEC. "securities
directors mutatis mutandis. Clause 4 In the management and supervision of trust, the trust manager shall ensure that there shall be at least one investment committee to have the duties to give advice or
, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.