Notifications relating to Issuance and Offer for Sale of Securities, dated December 15, 2008 (B.E. 2551), the definition of “executive" means director, manager, or the first four executives succeeding the
Notifications relating to Issuance and Offer for Sale of Securities, dated December 15, 2008 (B.E. 2551), the definition of “executive" means director, manager, or the first four executives succeeding the
persons with managerial authority who are responsible for managing private fund for legal entity under the first paragraph shall also have qualifications specified under Sub-clause (3) and (4) Where the
persons with managerial authority who are responsible for managing private fund for legal entity under the first paragraph shall also have qualifications specified under Sub-clause (3) and (4) Where the
thereof. In filing of application under the first paragraph, securities company shall file with the following documents altogether: (1) three year operation plan of the securities company in applying
thereof. In filing of application under the first paragraph, securities company shall file with the following documents altogether: (1) three year operation plan of the securities company in applying
insurance company shall also have qualifications specified under the first paragraph. Clause 3 Applicant for securities business license in the category of investment advisory service which is a legal entity
the first offering of the investment units, or a resolution of approval is obtained from the unitholders with majority resolution. (2) The mutual fund management company shall submit a request for
granting approval for establishment of company in accordance with the first paragraph within thirty days from the date receiving the SEC’s recommendation. Clause 4 Upon the Minister’s approval under Clause 3
the first offering of the investment units, or a resolution of approval is obtained from the unitholders with majority resolution. (2) The mutual fund management company shall submit a request for