the SEC’s Notification. Clause 7 Fees shall be prescribed as follows: (1) Application fee Baht 10,000; (2) Inter - dealer brokerage license Baht 100,000 The licensee shall pay fee for securities
accordance with criteria, conditions and procedures as specified in the SEC’s Notification. Clause 7 Fees shall be prescribed as follows: (1) Application fee Baht 10,000; (2) Inter - dealer brokerage license
Act B.E. 2535. Clause 3 Undertaking of inter-dealer brokerage under Clause 2 means providing of the services for consideration in forms of brokerage fee, other fees or other remunerations as a
: 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
Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
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
Business in the Category of Investment Advisory Service B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Inter - dealer Brokerage B.E. 2545 (Repealed
/ 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
Fees shall be prescribed as follows: (1) Application fee Baht 50,000 (2) Private fund management license Baht 500,000 The licensee shall pay license fee on the date of obtaining the license. [Amended by