. Transactions on principal assets/with related persons Acquisition/disposal of principal assets Transaction size (X) in propotion to total asset value Execution of transactions small X < 10% at
: Detail Content -Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking Securities Business License in the Category of Investment Advisory Service B.E. 2545 By virtue of
dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5. Mutual fund management 6. Private fund management
the prescribed form. 7. Not being in default om principal or interests of any debt securities or in default on a loan payment. 8. Within two years prior to the filing of the application for an approval
misled investors in a manner of concealing or disguise or making up non-existing facts. 9. Not being in default om principal or interests of any debt securities or in default on a loan payment. 10. Not
database of directors and executives of the securities issuing companies. 4. Not being in default on principal or interests of any debt securities or in default on a loan payment. 5. Not being in breach of
business. 7. Not being in default on principal or interests of any debt securities or in default on a loan payment. 8. Not being in breach of the terms and conditions of the debt securities. Fast track
having other interest which may be in conflict with the best interest of the business or having benefits transferred from the business. 7. Not being in default om principal or interests of any debt
having other interest which may be in conflict with the best interest of the business or having benefits transferred from the business. 7. Not being in default om principal or interests of any debt
securities borrowing and lending business under Clause 1 means providing service, in normal course of business, to general public with a view to effectuating securities borrowing and lending, regardless of