Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
investment advisory service under this Ministerial Regulation shall be any of the followings- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance
their needs for advisory services of financial planning to attain targeted savings, do not have access to these services. The existing advisory services are catering primarily to high net worth investors
Business in the Category of Investment Advisory Service B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Inter - dealer Brokerage B.E. 2545 (Repealed
LIMITED 28 November 2013 12 INFINITI UNIT INVESTMENT SECURITIES COMPANY LIMITED 25 February 2016 13 AEKINVESTMENT INVESTMENT ADVISORY SECURITIES COMPANY LIMITED 20 January 2017 14 ROBOWEALTH MUTUAL FUND
operator Exchange Broker Dealer Fund Manager Advisory Service Custodial Wallet Provider ICO Portal Auditor ICO Issuer Auditor List of Auditors Approved by the Office of SEC ICO
, examination results of related rules and investment advisory suitability are also required (past results are valid within two years on the filing date). T raining Courses for Migration (for IC and IP
advisor of shareholders Two types of advisory tasks; as for a tender offer and for a whitewash waiver For a tender offer Providing opinions on the tender offer for securities and other documents