4 Any legal entity under Clause 2(1) to (5) intending to apply for a securities business license in the category of investment advisory service shall file an application with the SEC Office within the
their needs for advisory services of financial planning to attain targeted savings, do not have access to these services. The existing advisory services are catering primarily to high net worth investors
(Organizational Management) e-mail : rachamar@sec.or.th Tel. : +66 2033 9958 Mrs. Sittasri Nakasiri Assistant Secretary-General (Strategy and Planning) e-mail : sittasri@sec.or.th Tel. : +66 2263 6122
and Exchange Commission, Thailand Education B.A. in Economics, Chulalongkorn University, Thailand M.S. in Economic Policy and Planning, Northeastern University, USA Current Appointments
Regulation. Clause 2 Securities company or organization relating to securities business intending to establish limited company or public limited company to undertake securities finance business shall file an
providing services. Clause 2 Person intending to undertake securities business in the category of inter - dealer brokerage shall file an application for approval of establishment of limited company or public
Section 110 of the Securities and Exchange Act B.E. 2535 when the application is filed; Clause 3 Securities company intending to apply for additional securities business licenses shall file an application
to undertake securities finance business shall be specified in this Ministerial Regulation. Clause 2 Securities company or organization relating to securities business intending to establish limited