must be clearly specified in order to avoid any doubt whether internal information is used to the benefit of the executives. The program must be administered by an intermediary, such as a securities
there are adequate measures to manage conflicts of interest; There is no reason to doubt that the management mechanism will be unable to protect the rights of the shareholders or to treat the shareholders
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
category of venture capital management; (2) have objectives limited to operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to
Confidence". Website 5stepstoinvest.com (Thai Version) Facebook 5stepstoinvest (Thai Version) Regulatory Summary Qualifications 1. A juristic person with a license for operating securities or
Confidence". Website 5stepstoinvest.com (Thai Version) Facebook 5stepstoinvest (Thai Version) Regulatory Summary Qualifications 1. A juristic person with a license for operating securities or
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
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
specifies a minimum paid-up capital of 100 million baht for security company operating securities business in the category of securities dealing or securities underwriting or the securities company keeping
i.e. protection seller CDS; Please note that this is a non-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As