: Annual Registration Statements (form 56-1) and Annual report (form 56-2) Important information that must be disclose are, such as, Risk factors Type of operation Capital structure Management structure
and provide service as a securities trading center must apply for a license from the SEC Board. The application must be jointly made by not less than 15 securities companies. The securities trading
and provide service as a securities trading center must apply for a license from the SEC Board. The application must be jointly made by not less than 15 securities companies. The securities trading
characteristics. Disclosure of information is complete and sufficient for making a decision to invest, and not misleading in substance Other qualifications Summary of important criteria in relation to the issuing
Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
in the Category of Investment Advisory Service B.E. 2545 By virtue of Section 7 and the fourth paragraph of Section 90 of the Securities and Exchange Act B.E. 2535, which is an Act containing
securities and whether they are offered privately or publicly. These are important factors to determine the level of impact: Type of securities Who offers the securities Nature of offers Regulations New
Business in the Category of Investment Advisory Service B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Inter - dealer Brokerage B.E. 2545 (Repealed
Notification of the Securities and Exchange Commission No. GorJor. 16/2561 Re : Criteria, Provisions, Procedure for Approval of an ICO Portal Service Provider dated July 3, 2018 ( Effective as of July 16, 2018
the SET 5. Other criteria Criteria for authorizing IPO The past five years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important