Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
Business in the Category of Investment Advisory Service B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Inter - dealer Brokerage B.E. 2545 (Repealed
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
: Clause 1 Any securities company obtained some but not all of the securities business licenses in the category of securities brokerage, securities underwriting and securities dealing, may file an
the category of securities brokerage, securities underwriting and securities dealing, may file an application for additional securities business licenses it has not yet obtained by complying with rules
Companies Report Forms Outsourcing Activities Appointment of an Investment Advisor (IA) according to Section 100 Securities Business Derivatives Business 1. Securities brokerage 1