) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
in the Category of Investment Advisory Service B.E. 2545 By virtue of Section 7 and the fourth paragraph of Section 90 of the Securities and Exchange Act B.E. 2535, which is an Act containing
period of time that the SEC could refuse to accept the application. Lead appraiser Being full time casual worker or employee of the applicant; Practicing on asset appraisal continuously for not less than 1
Business in the Category of Investment Advisory Service B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Inter - dealer Brokerage B.E. 2545 (Repealed
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
. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5
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
securities borrowing and lending business under Clause 1 means providing service, in normal course of business, to general public with a view to effectuating securities borrowing and lending, regardless of