required to regularly supervise the service providers to ensure efficiency of the performance (except for group 2 functions). Applying for Approval and Reporting Guidelines No prior approval or
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
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
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
ดูแลการปฏิบัติงาน เป็นต้น ** งาน central utility function ได้แก่ การให้บริการระบบสนับสนุนงานที่เกี่ยวข้องกับการซื้อขายหน่วยลงทุนและจัดการกองทุน (Fund Service Platform) ซึ่งให้บริการโดย บริษัท ดิจิทัล แอค
. Competitive businesses Clear separation of target group of customers or markets; There are other groups of shareholders that can counterbalance; Major shareholders have more interests in the listed company
disclosed in the filing. The buyers of the units shall settle unit subscription in cash or cash-equivalence. The number of units allocated to any persons or a group of the associated persons shall not be over
Business in the Category of Investment Advisory Service B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Inter - dealer Brokerage B.E. 2545 (Repealed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