not becoming an empty box (without business operations). The intermediaries are required to regularly supervise the service providers to ensure efficiency of the performance (except for group 2
: 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
or cash-equivalence. The number of units allocated to any persons or a group of the associated persons shall not be over 50% of the units sold. Information disclosure and advertisement Compliance with
dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5. Mutual fund management 6. Private fund management
counterbalance; Monitoring of transactions that occur; Frequent revision of the appropriateness of the methods used. Competitive businesses Clear separation of target group of customers or markets; There
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
กฎเกณฑ์แล้ว ก.ล.ต. มีกระบวนการในการดำเนินการ ดังนี้ 1. ศึกษามาตรฐานจากหน่วยงานกำกับดูแลต่างประเทศและมาตรฐานสากลเพื่อกำหนดหลักการ 2. เปิดรับฟังความคิดเห็นหลักการ (public hearings / focus group) 3. นำ
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the Category of Mutual Fund Management B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Investment Advisory Service B.E. 2545 (Repealed