Company or Public Limited Company to Undertake Securities Business in the Category of Mutual Fund Management Report/Form (Notification of Securities and Exchange Commission) Documents for the Application
positions in a company whose license is denied or revoked, or whose license application is withdrawn, or whose record shows participation in or support of wrongdoings of companies liable to operate a
consideration of the application. While the Ministry of Finance is considering the material change, the company may continue business operation by virtue of the Transitional Provisions of the Emergency Degree on
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
of an Application for Approval of Private Fund Custodian In Which an Applicant is a Limited Company or a Public Limited Company Particulars For the SEC Officer □ 1. Supporting documents company : □ (1
/2547 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange
Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) _________ Whereas the first paragraph of Section 104 of the
Sor-1, the application fee under Clause 14(2) shall be waived if the applicant is one of the following legal entities: (1) A securities company having obtained a securities business license type A; (2
Sor- 1, the application fee under Clause 14(2) shall be waived if the applicant is one of the following legal entities: (1) A securities company having obtained a securities business license type A; (2