e-service Online Submission See canceled document Securities Dealer Business >> Conflict of Interest Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital
Disqualifications for Management (section 103) |- OTC Securities Dealer (section 114) |- Revocation of License (section 147) |- Others (Securities Business) |- Separation of Securities and Finance Businesses
By virtue of Section 4 of the Securities and Exchange Act B.E. 2535, Finance Minister by the SEC’s recommendation hereby issues the following regulations. Clause 1 In this Notification: “securities
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securities business in the category of: Ο securities broker; Ο securities dealer that not limited only to debt instrument; Ο securities finance. 1.1 Category of juristic person of the applicant, □ a commercial
operate securities business in the category of: Ο securities broker; Ο securities dealer that not limited only to debt instrument; Ο securities finance. 1.1 Category of juristic person of the applicant, □ a
business, securities business, and credit foncier business; (3) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not
foncier business; (3) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not limited to debt instruments or granting
Finance and Securities Business & Merger (Section 90) | - |- Related Organizations with Securities Business (Section 230) | - |- Others Securities Dealer Business |- Licensing / Registered Capital / Fees