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
Public Company Limited Clearing house Thailand Clearing House Co., Ltd. Securities depository center Thailand Securities Depository Co., Ltd. Securities registrar List of securities registrars (Thai
with other criteria pursuant to Section 56 of the Securities and Exchange Act (including the case where a company limited is transformed into a public company limited). Audit reports do not have the
plan to urge the Thai public to realize the importance of financial planning to really and to put into practice . In parallel, we support service providers of financial planning accessible by the
must also take into account the protection of investors. Regulatory Suumary The criteria for approving ESOP apply to the following business and securities: Business: Public company limited incorporated
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
. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5
establishment of mutual fund (1) Applying for normal approval The mutual fund management company shall submit an application for approval of the establishment of a mutual fund together with all required