law on securities and exchange (SC.) licensed to operate securities business in the category of: Ο securities broker Ο securities dealer Ο investment advisor Ο securities underwriting Ο mutual fund
website in the form of community web board shall not be liable to presenting oneself to the general public as being ready to provide services as investment advisor or derivatives investment advisor on the
business, securities business, and credit foncier business; (3) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not
ละ 50 ของทุนจดทะเบียน) ( ) นายหน้า (Broker) ( ) ผู้ค้าหลักทรัพย์ (Dealer) ( ) ผู้รับประกันการจำหน่ายหลักทรัพย์ (Underwriter) ( ) ผู้จัดจำหน่ายหลักทรัพย์ (Distributor) ( ) ที่ปรึกษาการลงทุน (Investment
company under Financial Institutions Businesses Act; (2) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not limited to
Office’s Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for the Renewal of Approval for Investor Contacts dated 12 June 2007. Investment Advisor Supervision Department Tel. 0-2263-6071 Fax. 0-2263-6332
securities dealer shall pay the minimum annual fee of 50,000 baht. Clause 7 A securities brokerage licensee shall pay the fee according to the following criteria: (1) the license fee for securities brokers on
company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give
income which the company has received from providing service to a client, such as investment advisor service fee, securities underwriting fee, fund management fee, clients’ asset management fee and
application within the period specified as follows shall be exempt from having the qualifications under Clause 5: (1) Being a person who has passed the examination on knowledge of investment advisor from