The Securities and Exchange Commission, Thailand
The Securities and Exchange Commission, Thailand
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Investment Advisory |
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Juristic person who undertake securities business in the category of investment advisory services under the Securities and Exchange Commission B.E. 2535 (1992) are:
1. Juristic person licensed to undertake securities business in the category of investment advisory services under the Ministerial Regulation concerning the undertaking of securities business in the category of investment advisory service B.E. 2545 (2002). 2. Any securities company licensed to undertake securities business in the category of investment advisory services prior to the effective date of the Ministerial Regulation as per (1). Any business operator under (1) and (2) intends to undertake investment advisory services shall arrange to have operation system that prompt for business operating and obtain an approval from the Office in accordance with rules, conditions, and procedures prescribed by the SEC in the Notification No. KorNor. 23/2544. |
Note : * Limit scope of business to giving investment advice through medium and carried out research as requested or funded
List of Securities Dealings Licensee (Investment Units)
1207
