public limited company newly established for operating securities business in the category of mutual fund management shall- (1) have a paid-up registered capital not less than the amount specified in the
Thai MinistrialRegulationSEAArchive-a การใช้คุกกี้ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์ และอาจใช้คุกกี้ชนิดจดจำข้อมูล
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
redemption as specified by the mutual fund management company and disclosed in the scheme: (1) An individual limit; (2) A total limit of the mutual fund in proportion to the investment in or the holding of
redemption as specified by the mutual fund management company and disclosed in the scheme: (1) An individual limit; (2) A total limit of the mutual fund in proportion to the investment in or the holding of
which the auditor is attached as prescribed by the regulations summarized below: Individual Qualifications (1) being a certified public accountant whose license is still valid; (2) being a leader of an
– in case of a listed company Criteria for approval: can be divided into four cases, depending on the nature of share price indication based on the resolution of the shareholders' meeting. 1 st case
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
) checking the basic individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and