direct connection to the undertaking of securities or derivatives business; “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company or
uncertainty concerning entity’s ability to continue as a going concern (paragraph........); ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or regulatory action (paragraph
apply) ( 5.1 Using of going concern assumption appropriate but a material uncertainty exists (paragraph number.......) ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or
to undertake securities business in the category of investment advisory service or venture capital management shall have paid-up registered capital of not less than one million baht. In the case where
the category of investment advisory service; (3) a securities company which obtains a securities business license in the category of venture capital management. Clause 5 In the case where a securities
is not an institutional investor , private equity , venture capital and investor having a specific characteristic. “ institutional investor ” means an institutional investor in accordance with the
in the category of inter-dealer brokerage; (3) a securities company in the category venture capital management; (4) a derivatives intermediary in the category of derivatives advisory; (5) a person
Baht 500,000 per year; (5) Inter-dealer brokerage, at the rate of Baht 50,000 per year; (6) Venture capital fund management, at the rate of Baht 50,000 per year; (7) Securities registrar service, at the
หรือบริษัทร่วมทุน (Joint Venture) ที่มีศักยภาพในการเติบโต หรือบริษัทที่ทำธุรกิจแขนงใหม่ โดยจะลงทุนในหุ้นสามัญเป็นหลักทรัพย์ กลยุทธ์การลงทุนแต่ละประเภทจะประกอบไปด้วยสัดส่วนการลงทุนในตราสารทางการเงินที่มี
a conglomerate company or joint venture; (7) “ SEC Office ” means the Office of the Securities and Exchange Commission. Clause 2/1 This Notification is applicable to reporting the results of selling