Exchange Commission hereby issues the following regulations: Clause 1. Any person who wishes to apply for a license for undertaking securities business pursuant to the Ministerial Regulation Concerning
) Report/Form (Notification of Securities and Exchange Commission) Report of the Selling of Shares / Newly Issued Shares in Support of Convertible Debentures or Warrant on Debentures (Form 81-2) Report
misappropriating the company?s assets in contravention of Section 307, 308, 311, 313 and 315 of the Securities and Exchange Act of 1992 (SEA). A referral from the Stock Exchange of Thailand (SET) and the SEC
12/2558 03/04/2015 01/06/2015 10. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director and Executive
Fund; “Advisor” means any person who giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The
; “Securities exchange” means The Stock Exchange of Thailand; “Authorized person in private fund management” means the following persons: (1) Any person, who take responsibility in private fund management, from
Exchange Act, B.E. 2535 (1992) or the mutual fund management company; (2) Any person, who take responsibility directly in the private fund management in the case where private fund management company is not