frameworks. Later, a number of independent audit regulators established in the course of the implementation of IOSCO's Principle of Auditor Oversight co-founded the International Forum of Independent Audit
limitedcompany to undertake securities finance business and application and issuance of license to the companyso established to undertake securities finance business shall be specified in this Ministerial
: Clause 1 Application and approval on establishment of limited company or public limitedcompany to undertake securities finance business and application and issuance of license to the companyso established
company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or
) To be filed before the new location is inaugurated. Regulatory Summary Intermediaries Regulations Asset Management Regulations Related Forms SHARE : For More Information ContactUs Intermediaries
Securities and Exchange Act B.E. 2535 to allow qualified financial institution or such other legal entities to undertake such securities business by means of being shareholders of newly established company
established under specific law; or (6) newly established limited company or public limited company to undertake securities business in the category of investment advisory service under this Ministerial
SEC is of the view that limited company or public limited company to be established has qualifications as specified in this Ministerial Regulation, the SEC shall recommend the Minister to approve
attached with supplementary documents as specified by the SEC. Clause 3 In case where the SEC is of the view that limited company or public limited company to be established has qualifications as specified
license in the category of venture capital management under this Ministerial Regulation shall- (1) be a limited company or a public limited company newly established to operate securities business in the