not becoming an empty box (without business operations). The intermediaries are required to regularly supervise the service providers to ensure efficiency of the performance (except for group 2
: 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
entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality
mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure
supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
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
of financial planning to really and to put into practice . In parallel, we support service providers of financial planning accessible by the general public. Furthermore, we encourage uses of FinTech
of financial planning to really and to put into practice . In parallel, we support service providers of financial planning accessible by the general public. Furthermore, we encourage uses of FinTech
the Category of Mutual Fund Management B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Investment Advisory Service B.E. 2545 (Repealed