established under specific law; or (6) newly established limited company or public limited company to undertake securities business in the category of investment advisory service under this Ministerial
with other criteria pursuant to Section 56 of the Securities and Exchange Act (including the case where a company limited is transformed into a public company limited). Audit reports do not have the
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
securities Public company limited Private Placement General approval / no duty to disclose information Public Offering Require approval / disclosure of information Existing securities Owner of the
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
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
foreign commercial bank or foreign life insurance company under the third paragraph shall also have qualifications specified under the second paragraph. Clause 4 Limited company or public limited company
Placement of a Warrant (PP Warrant) Regulatory Summary Public Offering of a Warrant (PO Warrant) can be done in accordance with the following requirements: The offering company must be incorporated under Thai
price, it must also comply with the criteria for low-price shares. Public Offering (PO) Secondary Public Offering (SPO) Private Placement (PP) of shares: in case of a non-listed company in the stock
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