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Regulations

​​​Intermediaries


 

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​Securities Bus​iness    ​
Derivatives Business
​1. Securities brokerage         
​1. Derivatives brokerage
​2. Securities dealing    
​2. Derivatives dealing
​3. Investment advisory service   
​3. Derivatives advisory service
​4. Securities underwriting     
​4. Derivatives fund management
​5. Mutual fund management      
​6. Private fund management


 

 

 
  • ​Regulatory Principles

     

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For More Information

 

Intermediaries Policy Department

Tel.+66-2033-4620 / +66-2263-6574​