Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
Foreign Auditor (General case) Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) No. SEC.KorSor.(Wor) 48/2563 Subject Promotion
resolution shall not have been passed more than one year. Public advertisement is prohibited. Promotion materials can only be distributed only in the PP cycle. Must not co-sign the filing to allow PP
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
collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply
collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply
Business in the Category of Investment Advisory Service B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Inter - dealer Brokerage B.E. 2545 (Repealed
Notification of the Securities and Exchange Commission No. GorJor. 16/2561 Re : Criteria, Provisions, Procedure for Approval of an ICO Portal Service Provider dated July 3, 2018 ( Effective as of July 16, 2018
เสนอขายหน่วยลงทุน ของกองทุนรวม โดย (1) ค่าใช้จ่ายในการโฆษณาจากกองทุนรวม (1.1) ต้องกำหนดอัตราสูงสุด (1.2) ห้ามเก็บค่าใช้จ่ายในการจัดทำการส่งเสริมการขาย (promotion) จากกองทุนรวม (2) ค่าธรรมเนียมการจัดการ
. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5