securities for dissemination to dealers and providing a system for matching orders placed between dealers or any systems to facilitate trading of securities between dealers. Clause 4 This Notification
pertaining to rules for approval of offer for sale of units of the trust within five years before submitting the application Obtaining approval from the SEC, thereby in readiness of work systems and personnel
approval of wealth advisory services Application for approval of changes in the work systems/others Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Business Operators
systems and staffs; in case of a non-asset management company, additional qualifications are required such as a paid-up capital of not less than ten million baht, having at least one-third of independent
sector. Principles for prescription of paid-up registered capital Business Activities Paid-up Registered Capital Taking obligations and responsibilities in clearing & settlement systems 100 million baht
an asset management company or a non-asset management company: obtaining approval by the SEC, and being in readiness of work systems and staffs; in case of a non-asset management company, additional
auditors who wish to be approved from the SEC shall file the application form together with supporting documents as per checklists to the SEC. In considering the application, the SEC has two approval systems