Exemption from Submitting Registration Statement for Offer for Sale of Shares Issued by Foreign Company in case of Private Placement

Establishment of Mutual Funds and Execution of Agreements for Establishment of Mutual Funds and Execution of Agreements for Management of Private Funds (No. 2)

Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers, and Underwriters Limited to Investment Units and Derivatives Fund

Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and

Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and

. SEC has therefore drafted the rules and regulations on the matters including the rule on collection of copying charges. Proposed draft provisions include:(1) Notification of trustee’s resignation: In

public hearings from the third quarter of 2017 to the second quarter of 2018 and has included comments and suggestions of the private sector in the revision of the criteria.  Most of the parties

e-service Online Submission Private Fund >>   Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations   15/2543    28/08/2000 2. Notification of the Securities

Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business in the Category of Private Fund Management   Report/Form (Notification of Securities and Exchange

Procedures for Approval of the Private Fund Custodian   22/12/2004 16/12/2004     4. Notification of Capital Market Supervisory Board   85/2552    03/08/2009 01/09/2009     5. Notification of Capital Market