: Detail Content -Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking Securities Business License in the Category of Investment Advisory Service B.E. 2545 By virtue of
limit is < 35% of the total asset value. In case of assets with credit ratings of investment grades, the limit is up to 60% of the total asset value. Borrowing policy must comply with the provisions
the offer for sale of certain types of debt securities would require credit rating to be arranged by an approved credit rating agency. This is to allow the investors to have information on the
dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5. Mutual fund management 6. Private fund management
finance business under Clause 1 means undertaking of business with core objective to provide credit facility for securities business. Clause 3 This Notification shall come into force on the date
financial institution with credit ratings in the first four categories by an approved credit rating agency. (4.2) Exchange traded funds (ETFs) An ETF shall comply with the following rules: Being an
financial institution with credit ratings in the first four categories by an approved credit rating agency. (4.2) Exchange traded funds (ETFs) An ETF shall comply with the following rules: Being an
, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business, etc. There are two types of administrative actions taken by the SEC Office
loan, a loan limit and conditions of such credit shall be specified, and there shall be a statement conveying the client's consent to assign the private fund management company to arrange such matter
loan, a loan limit and conditions of such credit shall be specified, and there shall be a statement conveying the client's consent to assign the private fund management company to arrange such matter