Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
Brokerage, Dealing or Underwriting of Investment Units B.E. 2547 (Repealed) SHARE : For More Information ContactUs Legal Department -Corporate and Administrative Cases Tel. +66-2033-9525 Was this
dealer” means (1) licensee to operate securities business in category of securities dealing; (2) licensee to operate securities business in category of securities dealing under foreign law ; (3) the Bank
. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5
: 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
can better diversify the investment risks, and receive professional services in monitoring and managing the investments. Establishment of Mutual Funds Cross-boder Offering of Funds Offering for Sale
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
> Management of Mutual Fund > Fund managers Regulations SHARE : Detail Content Management of Mutual Fund 2. Fund managers 2.1 In managing a mutual fund, the mutual fund management company will appoint a