investment advisory service under this Ministerial Regulation shall be any of the followings- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance
(amended by No. 13 No. 17) (Repealed) 7 Application for Approval on Establishment of Company to Undertake Securities Finance Business B.E. 2539 (Repealed) 9 Application for License to Undertake
. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5
, subsidiary, associate company do? Is it a product or a service? From which business is the major income derived? How is the trend of the industry? Can the company compete with other business competitors? Are
Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
have conflict of interests or there are adequate measures to manage conflict of interests Principles : Controlling persons or those who have influence on a listed company (directors, executives and
instruct the SET to issue or amend its rules, or to act or omit to act, with a view to preventing damages. Securities Trading Center is another type of secondary market. Any company wishing to establish
instruct the SET to issue or amend its rules, or to act or omit to act, with a view to preventing damages. Securities Trading Center is another type of secondary market. Any company wishing to establish
Notification of the Securities and Exchange Commission No. GorJor. 16/2561 Re : Criteria, Provisions, Procedure for Approval of an ICO Portal Service Provider dated July 3, 2018 ( Effective as of July 16, 2018
duty after the public offering of digital tokens A letter of certification for performing duties as a digital token portal service provider A form for a report on the results of offering of digital