Regulation. Clause 2 Applicant for securities business license in the category of investment advisory service which is a legal entity under Clause 1(1) to (5) shall- (1) be able to maintain capital funds and
insurance company licensed under law on commercial banking or law on life insurance, as the case may be, such applicant shall- (1) be able to maintain capital funds and set aside reserve capital in accordance
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
management, there shall be a condition specifying that the licensee shall maintain its qualifications as specified in this Ministerial Regulation throughout the license period and shall undertake business
working hours of the associations for inspections. The related persons should facilitate assistance and convenience reasonably. The associations shall prepare and maintain a copy of a membership register at
limitedcompany to undertake securities finance business and application and issuance of license to the companyso established to undertake securities finance business shall be specified in this Ministerial
respect of which Section 29 in conjunction with Sections, 35,36,45,48 and 50 of the Constitution of the Kingdom of Thailand allow to be done by provisions of law, the Finance Minister prescribes the
to undertake securities finance business shall be specified in this Ministerial Regulation. Clause 2 Securities company or organization relating to securities business intending to establish limited
, there shall be a condition specifying that the licensee shall maintain its qualifications as specified in this Ministerial Regulation throughout the license period shall undertake business operation in
SEC’s Notification. Clause 6 In issuing securities business license in the category of venture capital management, there shall be a condition specifying that the licensee shall maintain its qualifications