Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
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
Brokerage, Dealing or Underwriting of Investment Units B.E. 2547 (Repealed) SHARE : For More Information ContactUs Legal Department -Corporate and Administrative Cases Tel.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
: 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
Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE : Detail Content Group 1: Information disclosure that may cause damage to investors and capital market 1.1
Securities Trading Practices Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Business
to make a tender offer for all securities of the listed companies. 3. Other cases Dealing with related party transactions Independent FA (IFA)'s opinions are mandatory on the following