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
public limited company to undertake securities business in the category of investment advisory service under this Ministerial Regulation. Clause 2 Applicant for securities business license in the category
foreign commercial bank or foreign life insurance company under the third paragraph shall also have qualifications specified under the second paragraph. Clause 4 Limited company or public limited company
foreign commercial bank or foreign life insurance company under the third paragraph shall also have qualifications specified under the second paragraph. Clause 4 Limited company or public limited company
Person intending to apply for operate securities business license in the category of mutual fund management shall be limited company or public limited company which is newly established for operating
and minor children of the securities holder; (2) Director, executive, controlling person, employee, or worker of business in the group of the securities issuing company, who holds a position or the
and minor children of the securities holder; (2) Director, executive, controlling person, employee, or worker of business in the group of the securities issuing company, who holds a position or the
determine the level of impact: Type of securities Who offers the securities Nature of offers Regulations New securities Public company limited Private Placement General approval / no duty to disclose
reviewed and audited by an sec-approved auditor in compliance with accounting standards of a public company limited (in case of financial statements ending on or after 31 December 2013, three most recent
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