means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
of investment advisory service which is a legal entity under Clause 1(1) to (5) shall- (1) be able to maintain capital funds and set aside reserve capital in accordance with law controlling business
> Notification-D Notification of the Ministry of Finance SHARE : Detail Content -Unofficial translation- The Notification of the Ministry of Finance Re: Prescription of Type of Legal Entity Eligible to
held by any legal entity under Sub-clause (1) to (5) in aggregate amount of not less than fifty percent of total shares sold. Clause 3 Where an applicant for securities business license in the category
held by any legal entity under Sub-clause (1) to (5) in aggregate amount of not less than fifty percent of total shares sold. Clause 3 Where an applicant for securities business license in the category
be Major Shareholder • Prescription of Type of Legal Entity Eligible to Apply for Approval on Establishment of Limited Company or Public Limited Company to Undertake Securities Business in the
management; (d) life insurance company under law on life insurance; (e) financial institution or legal entity established under specific law as specified by the SEC; or (f) limited company or public
ติดตามดูแลการกระทำที่อาจก่อให้เกิดความขัดแย้งทางผลประโยชน์(Independent Oversight Entity : IOE ประเภทหลักทรัพย์และอัตราส่วน หลักเกณฑ์สำหรับกองทุนรวมที่เสนอขายต่อผู้ลงทุนที่มิใช่รายย่อย (AI) กองทุนรวม
Information of Securities Issuer stipulate that the auditor who audits and certifies financial statements of foreign entity whose securities are publicly offered in Thailand market must be approved by the SEC
Disclosure regarding Financial and Non-financial Information of Securities Issuer stipulate that the auditor who audits and certifies financial statements of foreign entity whose securities are publicly