The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
licensed firm Give advice Retail investors Licensed & regulated by Home regulator ACMF pass holder Fast-track approval Give advice Non-Retail investors Attachment is subject to host’s Laws and Regulation
include going public and becoming a listed firm or PE trust. With PE Trust, businesses will not only have access to fund source for expansion but will also gain management expertise from professionals
than 3 consecutive years; and SEC allows the auditors in a small audit firm to perform duties for more than 7 cumulative years but no more than 9 cumulative years. As the grace period is applicable to
acceptable, if they work at an auditing firm approved by SEC. SEC Secretary-General Ruenvadee Suwanmongkol stated that “In June 2019, SEC for the first time considered allowing SMEs and startups to make
SECURITIES AND EXCHANGE COMMISSION (UNOFFICIAL TRANSLATION) Codified up to No.2 As of 10 July 2015 Readers should be aware that only the original Thai text has legal force and that this English
SECURITIES AND EXCHANGE COMMISSION (UNOFFICIAL TRANSLATION) Codified up to No.2 As of 10 July 2015 Readers should be aware that only the original Thai text has legal force and that this English
SECURITIES AND EXCHANGE COMMISSION TranslatED Version codified up to No.15 as of April 8, 2015 Readers should be aware that only the original Thai text has legal force and that this English
SECURITIES AND EXCHANGE COMMISSION TRANSLATED VERSION codified up to No.15 as of April 8, 2015 Readers should be aware that only the original Thai text has legal force and that this English