Securities Business B.E. 2551 (2008) as amended by Ministerial Regulation concerning Granting Approval for Undertaking of Securities Business (No. 2) B.E. 2555 (2012) , the Securities and Exchange Commission
Securities Business B.E. 2551 (2008) as amended by Ministerial Regulation concerning Granting Approval for Undertaking of Securities Business (No. 2) B.E. 2555 (2012), the Securities and Exchange Commission
suspension or revocation order or action by Home Regulator regarding the license or business activities. Yes No If “No”, please specify __________________________________________________
_____________________________________________________________________ 2. I/We am/are not currently being subject to any suspension or revocation order or action by Home Regulator regarding the license or business activities. Yes No If “No”, please specify
: _________________________________________________ 11) Home Economy of CIS Operator: _________________________________________ 12) Home Regulator of CIS Operator: ________________________________________ 13) Address of principal place of business
Home Regulator regarding the license or business activities. Yes No If “No”, please specify __________________________________________________
regulator also discussed with Association of Investment Management Companies (AIMC) and Sasin Graduate Institute of Business Administration of Chulalongkorn University (Sasin) on the review on AIMC guideline
capital requirement by taking into account the types of business models as well as the existence of lead regulator (if any). Also, certain conditions and periods of protection have been adjusted in this