public limited company to undertake securities business in the category of investment advisory service under this Ministerial Regulation. Clause 2 Applicant for securities business license in the category
risk occurs Type of operation Important points What kind of business does the company, subsidiary, associate company do? Is it a product or a service? From which business is the major income derived? How
utility functions include the functions such as support services for investment units dealings and fund management in a fund service platform which is carried out by Thailand Securities Depository Co., Ltd
Company to Undertake Securities Finance Business B.E. 2539 (Repealed) 9 Application for License to Undertake Securities Borrowing and Lending Business B.E. 2543 (amended by No. 21) (Repealed) 15
. Securities Trading Center is another type of secondary market. Any company wishing to establish and provide service as a securities trading center must apply for a license from the SEC Board. The application
. Securities Trading Center is another type of secondary market. Any company wishing to establish and provide service as a securities trading center must apply for a license from the SEC Board. The application
interests Principles : Controlling persons or those who have influence on a listed company (directors, executives and majority shareholders) have personal interests (both directly and indirectly) that may
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
being an asset management company and having no interests with the sponsors, participation of FA in filing of the application is waived. General provisions Investment in real estate assets shall not be