for public offerings. Also a concern at the initial stage of development was the overlapped market supervision under the authority of multiple agencies as seen in the following areas: Securities
No. 23) (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Mutual Fund Management B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities
trustworthiness in regard of undertaking such securities businesses; "major shareholder" means any person directly or indirectly holds shares of securities company exceeding ten percent of voting shares of such
with law controlling business undertaking of such legal entity; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within
group comprise independent audit regulators from four ASEAN jurisdictions, namely the Audit Oversight Board of Malaysia (AOB), the Accounting and Corporate Regulatory Authority of Singapore
> 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
Business (As amended) By virtue of Section 4 of the Securities and Exchange Act B.E. 2535, Finance Minister prescribes the Ministerial Regulation as follows: Clause 1 "Undertaking securities finance
life insurance, as the case may be, such applicant shall- (1) be able to maintain capital funds and set aside reserve capital in accordance with law controlling business undertaking of such legal entity
specified in the notification of the SEC. Related Manuals/Guidelines Applying for a license in undertaking the digital asset business Guidelines in preparing documents demonstrating readiness of the