the capital market. Chapter 1 Application for Approval as Auditor in the Capital Market _____________________ Part 1 Filing of Application ______________________ Clause 7 Any person wishing to be an
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
Securitization Project. In the case where the applicant intends to request a waiver of the regulations under this Chapter, the applicant shall submit an application for the waiver 2 Amended by the Notification of
sell or transfer their subscription rights. TSR is an instrument issued by a listed company to existing shareholders without having to request for approval and submit filing. However, the company must
establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust. Regulatory Summary Qualifications Main duties of a Trust
Business Development Department issued an order rejecting IFEC application to change its directors’ list to register Mr. Wiphu Maharakkakla and Mr. Manusak Deawwanich as two additional directors. The