pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
Regulations The Notification of the office of the Securities and Exchange Commission No. SorShor. 39/2553 Re: Approval of Auditors in the Capital Market. (Codified) The Notification of the office of the
○ Licensing ○ Revocation of License ○ Business Office ○ Paid up Capital of asset management company • Private Fund Management ○ Licensing ○ Business Office Rules and Regulation
. 60/2561 Re: Rules, Conditions, and Procedure for Outsourcing Functions Related to Business Operation to Third Party The Notification of the Office of the Securities and Exchange Commission No. SorThor
annual transaction levy. Notifying Report on Establishment of On-shore Branch Office (Form 92-2/18-2) Notifying Report on Establishment of Off-shore Branch Office (Form 92-3/18-3) (Notification No
company; "financial institution" means any financial institution in accordance with law on interest on loan granted by financial institution; "SEC Office" means the Office of the SEC. Clause 2 No
Shareholders' Meeting of Listed Companies to Obtain Approval for Issuance and Offer of Securities for Sale (Codified) The Notification of the Office of the Securities and Exchange Commission No. SorJor. 33/2560
4 Any legal entity under Clause 2(1) to (5) intending to apply for a securities business license in the category of investment advisory service shall file an application with the SEC Office within the
No. GorJor. 15/2561 Re: Public Offering of Digital Tokens (ICO) dated July 3, 2018 (Effective Date of July 16, 2018) The Notification of the Office of the Securities and Exchange Commission No