securities business in the category of: Ο securities broker; Ο securities dealer that not limited only to debt instrument; Ο securities finance. 1.1 Category of juristic person of the applicant, □ a commercial
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
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
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
person realise the essential of security of the information technology thoroughly had known the duties and responsibilities and guideline on controlling the various risk which have a content covering the
, call center or other distribution via various media. 5.3 Required resources for operation Companies should prepare or procure required resources for operation, such as procurement or determination of
.: (a) Various securities activities or related activities such as derivatives market, securities borrowing and lending; (b) New types of securities or related financial instruments such as derivatives
regulations of the Stock Exchange of Thailand. Clause 4. The management company shall be responsible for various expenses incurred from the incorrect unit value, e.g., expenses in placing an announcement of
business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these
investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in