Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as
Capital Adequacy of Some Specific Intermediaries (No. 2 ) dated 20 February 2017. Clause 2 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory
strictly for reference. 2 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 34/2556 Re. Arrangement in Operating System of Securities or Derivatives Investment for Business
undertake securities business under this Act. "securities business" mean any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4
Exchange Commission No. Kor Thor. 13/2563 Re: Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment
only within the units or departments providing services under regulatory sandbox : (1) securities brokerage business; (2) securities dealing business; (3) investment advisory service business; (4
) securities business license type D (ง); (5) securities business license in the category of investment advisory service; (6) securities business license in the category of securities borrowing and lending
brokerage, dealing or underwriting of investment units; (2) “Derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker under the law on derivatives
Permission and Granting of Permission to Establish Service Offices for Investment Management Business dated 17 February 1997 shall be repealed. Clause 2. In this Notification, “Fund” means any mutual fund or
to undertake securities business in the category of investment advisory service or venture capital management shall have paid-up registered capital of not less than one million baht. In the case where