. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5
Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
outstanding units in one trading day; (2.2) The total number of investment units redeemed within 5 consecutive business days exceeds two-thirds of the outstanding units. (calculated by the total number of
outstanding units in one trading day; (2.2) The total number of investment units redeemed within 5 consecutive business days exceeds two-thirds of the outstanding units. (calculated by the total number of
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
be one of the following: Weighted average price (closing or average price of sale) for the past 7-15 consecutive business days before the date of price indication which is one of the following dates
) receiving proceeds transferred from provident funds (PVDs) or other RMF; (3) Other cases of unitholding for a consecutive period of not over one year, except that the SEC has granted a relaxation as deemed
) receiving proceeds transferred from provident funds (PVDs) or other RMF; (3) Other cases of unitholding for a consecutive period of not over one year, except that the SEC has granted a relaxation as deemed
the Securities and Exchange Act B.E. 2535; (b) net profit or not loss from operation during three consecutive years prior to the year of filing the application; (c) any step taken by the
operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the