million baht, comparable to a securities company that safeguards client assets. Additionally, a funding portal acting as a bondholder representative is required to meet and maintain financial
required to meet and maintain financial qualifications. The Notifications* specifying the amended regulations have been published in the Government Gazette and have become effective since 16
Financial Statement & Auditor Approval (section 106) Publisc Disclosure (section 108) Reporting & Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities
management; “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not apply to any private fund management company which is a financial institution established
reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------------- Notification