) assumes crucial roles starting from establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust. Regulatory Summary
oversight 2. Auditor supervision 2.1 Regulatory Summary of Approved Auditor in Capital Market 2.1.1 Filing of Application Auditor wishing to file an application for approval with the
Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
– in case of a listed company Criteria for approval: can be divided into four cases, depending on the nature of share price indication based on the resolution of the shareholders' meeting. 1 st case
Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business Qualifications of Applicants for Approval of Capital Market Investment Analyst on Fundamental Factors
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
> Mutual Fund > Establishment of Mutual Funds Regulations SHARE : Detail Content Establishment of Mutual Funds Summary of regulations 1. Filing an application 2. Methods in applying for approval
(amended by No. 13 No. 17) (Repealed) 7 Application for Approval on Establishment of Company to Undertake Securities Finance Business B.E. 2539 (Repealed) 9 Application for License to Undertake