established under specific law; or (6) newly established limited company or public limited company to undertake securities business in the category of investment advisory service under this Ministerial

According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a

Gazette; or (6) newly established limited company or public limited company to undertake securities business in the category of private fund management under this Ministerial Regulation whose shares are

. Sales and Services increase from 71.56 Million Baht to 76.54 Million Baht or 6.96% due to increasing revenues from contract manufacturing (OEM). 2. The company’s consolidated net loss for the period (Q.2

Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak

independent from the owner of assets to be invested by REITs. Moreover, REIT trustees must have in place preventive measures or sufficient check and balance mechanism, in cases of entering into transactions

the Securities and Exchange Act B.E. 2535, the Finance Minister prescribes the Ministerial Regulations as follows: Clause 1 Application and approval on establishment of limited company or public

: Clause 1 Application and approval on establishment of limited company or public limitedcompany to undertake securities finance business and application and issuance of license to the companyso established

license in the category of venture capital management under this Ministerial Regulation shall- (1) be a limited company or a public limited company newly established to operate securities business in the

Ministerial Regulations as follows:  Clause 1 Person eligible to apply for license to undertake securities business in the category of inter - dealer brokerage shall- (1) not have shareholder or controlling