step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members
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
show that its operational system will be prompt for operating securities business in the category of venture capital management; consideration on which will be taken into account its internal control
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
set aside reserve capital in accordance with law controlling business undertaking of such legal entity; (2) be able to show that its operational system will be prompt for operating securities business
the Securities and Exchange Act B.E. 2535; (b) net profit or not loss from operation during three consecutive years prior to the year of filing the application; (c) any step taken by the
of total shares sold of such legal entity; (3) 2 have objectives to operate securities business in the category as applying for license and other activities as permitted by the SEC; (4) be able to show
operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the
either wholly or partially until the said securities company rectifies such matter. In this juncture, the SEC may also order the securities company to undertake any step for the purpose of maintaining