The licensee to operate securities business in the category of investment advisory service shall commence securities business operation after the SEC Office, having completed its inspection, is of the
dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5. Mutual fund management 6. Private fund management
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
in form specified in the SEC’s Notification as published in the Government Gazette. Clause 11 The licensee to operate securities business in the category of private fund management shall commence
in form specified in the SEC’s Notification. Clause 10 The licensee to operate securities business in the category of mutual fund management shall commence securities business operation after the SEC
in form specified in the SEC’s Notification as published in the Government Gazette. Clause 11 The licensee to operate securities business in the category of private fund management shall commence
of financial planning to really and to put into practice . In parallel, we support service providers of financial planning accessible by the general public. Furthermore, we encourage uses of FinTech
of financial planning to really and to put into practice . In parallel, we support service providers of financial planning accessible by the general public. Furthermore, we encourage uses of FinTech
the Category of Mutual Fund Management B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Investment Advisory Service B.E. 2545 (Repealed
, Provisions, Procedure for Approval of an ICO Portal Service Provider dated July 3, 2018 ( Effective as of July 16, 2018) Related Forms Application Form for Approval (Form 19-1) Form for Certification of