56 of the Securities and Exchange Act and being audited or reviewed by an SEC-approved auditor.         3.1.1 Preparation and submission of financial statements for a public limited company applying

Apply for Approval on Establishment of Limited​ Company or Public Limited Company to Undertake Securities Business in the Category of Mutual Fund Management and Period for Filing Application ​   ​ By

Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality of financial report to ensure that public disclosure of financial report is accurate, transparent

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

company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or

Ministerial Regulation shall- (1) be a limited company or a public limited company newly established to operate securities business in the category of venture capital management; (2) have objectives limited to

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

providing services. Clause 2 Person intending to undertake securities business in the category of inter - dealer brokerage shall file an application for approval of establishment of limited company or public

shall file an application for approval of establishment of limited company or public limited company to undertake such business with the SEC Office, provided that such application shall be in form and

Institutional Investors (II) Private Placement to High Net Worth Investors (HNW) Public Offering (PO) Qualifications and approval rules - Applicable to the offering of bonds only. - For the offering of bonds, the