Exchange Act B.E 2535 Minister The Securities and Exchange Commission Registrar The SEC Office Trade Association Associations related to securities businesses Summary of major provisions in supervising the
with law controlling business undertaking of such legal entity; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within
of Appraisal Profession under the first paragraph shall be recognized by the SEC as an appropriate organization for supervising and promoting appraisal profession as prescribed. Related Rules and
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
highest responsibility in Accounting and Finance (“CFO") and the person assigned to the direct responsibility of supervising accounting preparation (“Chief Accountant") are required to have an education
Firm Qualifications having audit quality mangement system which is sufficient and reliable for supervising its auditor'work in compliance with the professional standards on a continuous basis. Such
sufficient and reliable for supervising its auditor's work in compliance with the professional standards on a continuous basis. Such audit quality management system shall comply with the international standard
show that its operational system will be prompt for operating securities business in the category of venture capital management; consideration on which will be taken into account its internal control
can better diversify the investment risks, and receive professional services in monitoring and managing the investments. Establishment of Mutual Funds Cross-boder Offering of Funds Offering for Sale
can better diversify the investment risks, and receive professional services in monitoring and managing the investments. Establishment of Mutual Funds Cross-boder Offering of Funds Offering for Sale