Commission 7/2560 16/02/2017 01/03/2017 5. Notification of the Securities and Exchange Commission KorKhor 7/2551 Determination of Paid-Up Registered Capital of Securities Company 08/05/2008 01/06/2008
licensed private fund or mutual fund management company. ----------------------------------------------*Remark Institutional investors include:(1) Bank of Thailand(2) Commercial banks/ banks established
of liabilities not exceeding the shareholders’ equity of the securities company ; (b) financing lease which is under the condition allowing for early termination of lease by the securities company as
Notification of the Securities and Exchange Commission re: Maintenance of Financial Condition of Licensed Derivatives Broker. The SEC Office is empowered to require the securities company under the first
inspections on the company’s business undertakings in its capacity of private fund management as licensed under Type C Securities Business License, it was found that the company: (1) had presented false and
Securities Companies President of the Association of Investment Management Companies Managers All securities companies All securities companies licensed to undertake securities business in the category of
securities companies licensed to undertake securities business in the category of mutual fund management All securities companies licensed to undertake securities business in the category of securities