means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
assessment. Protecting Minority Investors The SEC office has involved and supported in the Protection of Minority Investors Topic along with the Department of Business Development, the Ministry of
. Regulations on issuing equity instruments are aimed at protecting the following group of investors: New investors purchasing securities – the company is required to have appropriate qualifications and disclose
Thailand for not protecting the rights of shareholders, treating shareholders unfairly or failing to disclose complete and accurate information. 2. Normal track case for cases which are not fast track
while focusing on protecting and safeguarding the best interests of the investors. 1.4 The private fund management company shall not follow orders of the clients without any considerations and judgments
toward the date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial