(for public offerings) A Qualifying CIS Operator must submit a completed Form 35 - retail ASEAN CIS in hard copies accompanied by all supporting documentation as specified in Form 35 - retail
- retail ASEAN CIS in hard copies accompanied by all supporting documentation as specified in Form 35 - retail ASEAN CIS to the SEC Thailand for the ASEAN CIS application to be approved for public
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
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
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
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