Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
name of the investment consultant. ● Name of Securities/derivatives intermediary or the employer of the unit seller such as commercial bank. ● Details of the behavior causing the complaint
> Market Statistics (Dashboard) SHARE : Detail Content Market Statistics Mutual Fund Industry Brokerage Industry Corporate Bond Intermediaries & Professionals Thailand Stock Market (SET
Business in the Category of Investment Advisory Service B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Inter - dealer Brokerage B.E. 2545 (Repealed
Attorney form in case of authorizing another person to file complaint; 3. Details of the person against whom the complaint is filed, i.e., full name, mailing address, phone number of intermediary / listed
Ministerial Regulations as follows: Clause 1 Person eligible to apply for license to undertake securities business in the category of inter - dealer brokerage shall- (1) not have shareholder or controlling
of inter - dealer brokerage shall- (1) not have shareholder or controlling person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records
Notification of the Ministry of Finance SHARE : Detail Content -Unofficial translation- The Notification of the Ministry of Finance Re: Classification of Inter-Dealer Brokerage as Securities Businesses
/ Registration • Brokerage о Securities Brokerage о Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о
- Dealer Brokerage as Securities Business (IDB) ○ Prescription of Securities Borrowing and Lending Business as Securities Business (SBL) ○ Prescription of Securities Finance Business as Securities