Securities Underwriter Business

|-

Licensing / Registered Capital / Fees

|-

|-

Licensing (Section 90)

|-

|-

Activities NOT deem TO be classified AS operating securities business

|-

|-

Registered Capital (Section 96)

|-

|-

Revocation of License (Section 147)

|-

|-

Decrease in Registered Capital (Section 98(1))

|-

|-

Fees (Section 14, 19)

|-

Business Conduct

|-

|-

Securities Brokerage (Section 113)

|-

|-

Securities Dealing (Section 114)

|-

|-

Securities Underwriting (Section 116)

|-

|-

Underwriter of capital market product denominated in foreign currency

|-

|-

Books & Records Requirements

|-

|-

Risk Control

|-

|-

Compliance / Internal Control

|-

|-

Conflict of Interest

|-

|-

Online Submission

|-

Protection of Customer Assets (Section 98(3))

|-

Reporting of Securities Allocation (Section 81)

Business Operation Rules

|-

Net Liquid Capital Rule (Section 97)

|-

Executives / Personnel

|-

|-

Approval & Qualifications (Section 103, 104)

|-

Major Shareholders

|-

|-

Approval & Qualifications (Section 90, 91)

|-

Audit Committee (Section 89/25/133)

|-

Engagement in Related Businesses

|-

|-

OTC & Derivatives Businesses (Section 98(4))

|-

|-

Engagement in Other Businesses (Section 98(8))

|-

|-

Selling Agents (Section 100)

|-

Internal operation of Securities Companies

|-

|-

Proprietary Investment (Section 98(7))

|-

|-

Accept purchasing or selling orders outside head office or branch

|-

|-

Outsourcing Services

|-

|-

Joint Management Agreement / Other Agreements

|-

Auditors

|-

|-

Approval (Section 106)

|-

Accounting and Financial Statements (Section 105, 106)

|-

Reporting Requirements (Section 109)

|-

Disclosure

|-

|-

Advertising (Section 98(10))

|-

|-

Securities Businesses (Section 108)

|-

Branch Offices / Representative Offices (Section 92, 93)

|-

|-

Branches (Section 92)

|-

|-

Representatives Offices Establishment (Section 93)

|-

Complaint Handling

|-

Anti-money Laundering

|-

Information Technology

|-

Business Continuity Management (BCM)

|-

Arbitration

|-

Appeal

|-

Others

|-

|-

Public Holidays (Section 110)

|-

|-

Segregation of Finance and Securities Business & Merger (Section 90)

|-

|-

Related Organizations with Securities Business (Section 230)

|-

|-

Others

Contact

The Securities and Exchange Commission, Thailand
333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok 10900, Thailand

SEC Complaint Center

Follow Us

2019 The Securities and Exchange Commission, Thailand. All rights reserved.

This website is best viewed with Microsoft Edge, Chrome, Safari and Firefox.