specific law as specified by the SEC and published in the Government Gazette; or (6) newly established limited company or public limited company to undertake securities business in the category of private
Gazette; or (6) newly established limited company or public limited company to undertake securities business in the category of private fund management under this Ministerial Regulation whose shares are
license in the category of venture capital management under this Ministerial Regulation shall- (1) be a limited company or a public limited company newly established to operate securities business in the
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
: Clause 1 Application and approval on establishment of limited company or public limitedcompany to undertake securities finance business and application and issuance of license to the companyso established
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
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
company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or
fund Regulations SHARE : Detail Content Management of Mutual Fund 4. Preparation of financial reports of mutual fund 4.1 A mutual fund management company shall prepare the financial statements of the