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
. Investments in infrastructure assets Three Types of qualified investments are: direct investment through obtaining ownership of assets: suitable for infrastructure assets with transferable ownership such as
. 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
. Such application shall be filed with the SEC via the SEC Office within one hundred and twenty days from the date obtaining the Minister’s approval in form and together with supplementary documents