Causes of a conflict of interest Financial Impacts Doing Business in the Future Approval for Financial Advisors and Supervisors Juristic Persons (1) Being a financial institution or a
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
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 business, securities
SEC’s Notification; (2) 1 have the following shareholder or shareholders held its shares not less than fifty percent of total shares sold: (a) commercial bank under law on commercial banking; (b
- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance business, securities business and credit foncier business; (3) securities company under the
> Ministerial Regulations > MRSArchive Ministerial Regulations SHARE : Detail Content Archive No. Title 2 Financial Institution Eligible to Apply for Securities Business License B.E. 2536 (amended
category of mutual fund management shall be carried out by syndication of financial institution and other legal entities as specified in the Ministerial Regulation No.4 (B.E. 2535) promulgated under the
89/7; (4) allowing any person to use one's own securities trading account or banking account for payment of securities trading, or using any person's securities trading account or banking account
after a specified period. The guarantor shall be a juristic person (not the mutual fund supervisor of that fund) such as bank or financial institution incorporated under a specific law, commercial bank