have control over the executives in risk management, financial management and business strategy. The securities issuing company must disclose the minimum requirements in a format and within the
. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5
. Some salespersons of financial products focus on sales figures and brokerage commissions, giving less importance on recommending products suitable for investors' risk tolerance and their long-term
and provide service as a securities trading center must apply for a license from the SEC Board. The application must be jointly made by not less than 15 securities companies. The securities trading
Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
Digital Asset Businesses The Notification of the Securities and Exchange Commission No. GorThor. 11/2561 Re: Prescription of Specific Characteristics of Service Providers which Are not Considered Digital
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