: Detail Content -Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking Securities Business License in the Category of Investment Advisory Service B.E. 2545 By virtue of
audit oversight Overview of enhancing quality of financial information Financial report is essential information to the investors, representing the financial position and operating performance 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
Scope of Training Course The training course contents should cover essential knowledge beneficial for CFOs and chief accounts in carrying out their duties as follows: The orientation courses should
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
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the Category of Mutual Fund Management B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Investment Advisory Service B.E. 2545 (Repealed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
. 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