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
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
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
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
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
worth investors, provide an organized market, anddesignate at least one market maker. For the market maker or the high networth investors trading, the mutual fund management company may accept
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