the list of licensed securities companies, please click SEC Check First . For the list of companies / websites liable to undertaking securities business without license, please click Investor Alert
No. 23) (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Mutual Fund Management B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities
director who is appointed as the representative of directors of the issuer, major shareholder or shareholder who is a connected person of a majority shareholder. Not undertaking any business of the same
Business (As amended) By virtue of Section 4 of the Securities and Exchange Act B.E. 2535, Finance Minister prescribes the Ministerial Regulation as follows: Clause 1 "Undertaking securities finance
specified in the notification of the SEC. Related Manuals/Guidelines Applying for a license in undertaking the digital asset business Guidelines in preparing documents demonstrating readiness of the
specified in the notification of the SEC. Related Manuals/Guidelines Applying for a license in undertaking the digital asset business Guidelines in preparing documents demonstrating readiness of the
Securities Business (As amended) By virtue of Section 4 of the Securities and Exchange Act B.E. 2535, Finance Minister prescribes the Ministerial Regulation as follows: Clause 1 "Undertaking securities
Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant ● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full
/loss of share certificate ● Not receiving dividends The Thailand Securities Depository Co., Ltd. (TSD) The Stock Exchange of Thailand Telephone: +66-2009-9999 press 8 Website: www.set.or.th ● Incomplete
of Thailand. Clause 2 Undertaking of inter-dealer brokerage shall be classified as securities business within the definition of securities business under Section 4(7) of the Securities and Exchange