securities business in the category of the securities brokerage, securities dealing, securities underwriting, securities borrowing and lending or securities finance business; “Service provider” means a person
licensed to undertake securities business in the category of securities finance business, mutual fund management, securities brokerage, investment advisory service, securities dealing or securities
Finance Chairman of the Securities and Exchange Commission Note: The reason for issuing this Notification is that in light of the fact that the originally prescribed form of a service office has a limited
concerning Approval of Auditors in Capital Market , only for providing service under Paragraph 1 of clause 8 (3) or (6) only functions relating to the accounts and finance of clients; (3) the Stock Exchange of
law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that provides services within the scope approved for
Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as
company licensed to undertake securities 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
branch offices or facilitate customer to use service from other securities company. Notified this 2nd day of April 2008. (Mr.Surapong Suebwonglee) Minister of Finance Chairman of the Securities and
of securities brokerage, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions
service and securities underwriting; (2) The securities companies licensed to undertake securities business in the categories as specified in (1), except any one particular category; (3) The securities