providing services. Clause 2 Person intending to undertake securities business in the category of inter - dealer brokerage shall file an application for approval of establishment of limited company or public
providing services. Clause 2 Person intending to undertake securities business in the category of inter - dealer brokerage shall file an application for approval of establishment of limited company or public
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
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
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
derivatives. Any persons who wish to become a derivatives exchange must be a public company limited, have been granted a license from the SEC Board, and at least two-fifths of the total number of directors must
derivatives. Any persons who wish to become a derivatives exchange must be a public company limited, have been granted a license from the SEC Board, and at least two-fifths of the total number of directors must
) Regulatory Summary Public Offering of a Warrant (PO Warrant) can be done in accordance with the following requirements: The offering company must be incorporated under Thai laws and has qualifications in
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
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