business, employee, staff, advisor earning regular monthly salary, controlling person during the period of two preceding years. Relaxation of this requirement is in the case where the person is retired as a
three years preceding the year of filing application toward the date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of
; (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
that the meeting consider such additional agenda item. However, it must wait until the consideration of the preceding items has been completed. Q: In case a shareholder holding at least 5 percent
- (1) not have financial condition that is likely to cause damage or have any other circumstances showing the holder’s financial hardship; (2) within three years preceding the year of filing application
the Securities and Exchange Act B.E. 2535; (b) net profit or not loss from operation during three consecutive years prior to the year of filing the application; (c) any step taken by the
operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the
Foundation of the SEC About Us SHARE : Detail Content The Foundation of the SEC The capital market has always been a major venue for fund mobilization of business sectors. Yet, prior to the SEC
from a closed-end fund to an open-end fund is originally specified in the scheme prior to the first offering of the investment units, or a resolution of approval is obtained from the unitholders with
years; (4) The agreement contains a statement that customs have the right to terminate the agreement for management of a private fund within five business days without giving prior notice to the private