from 16 February 2018. Clause 2 In the application forms and the registration statement as prescribed in this Notification: “institutional investor”, “ultra-high net worth investor” and “high net worth
ETF” means a share of investment company or unit trust issued under collective investment scheme in the category of exchange-traded fund established under law of foreign jurisdiction; “foreign regulator
information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct, and complete data processing
, utilizing or altering such information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct
7/2551 Determination of Paid-Up Registered Capital of Securities Company 08/05/2008 01/06/2008 4. Notification of the Securities and Exchange Commission 58/2547 25/11/2004 16/12/2004 5
/08/2000 05/09/2000 2. Notification of Capital Market Supervisory Board TorThor. 45/2553 Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Securities Company to
of which significantly affect corporate operating results in terms of profit-loss or liability in each accounting period. After filing the application for fund establishment, additionally, proposed
Companies shall comply with the provisions concerning offerings of covered funds in the same manner as offerings under ASEAN CIS and ARFP, mutatis mutandis. - In the case where a covered management company in