trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment
, without planning or analyzing of investment. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its
use for business undertaking with or without ownership. (For example, land, building, factory and machinery. The presentation of the total amount of such assets may be asset category-based, not item-or
during any period of twelve months without performing any acts deemed to be presentation of oneself as derivatives adviser; (2) giving advice from the Kingdom of Thailand to investors in foreign countries
obligations, but not in Clause 2(3); (3) twenty-five million baht for undertaking the following businesses without price settlement and contract delivery obligations: (a) Undertaking derivatives business with
underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business
that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to
of the securities from a company or owner of securities for sale to the public in consideration of a fee or other remuneration whether with or without any conditions. "mutual fund management" 3 means