securities Public company limited Private Placement General approval / no duty to disclose information Public Offering Require approval / disclosure of information Existing securities Owner of the
Foreign Auditor (General case) Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) No. SEC.KorSor.(Wor) 48/2563 Subject Promotion
specified period. The associations shall prepare a balance sheet once in every twelve-month period, and an annual report on results of the operation to be presented to the general meeting of the associations
Type 1, Type 2 และ Type 3 Qualifications of Applicants for Approval of Investment Consultant on General Products Regulations Guidelines Regulatory Summary SHARE : For More Information ContactUs
imposed when the SEC is granted an approval of the Civil Sanction Committee, which comprises five members, namely: (1) the Attorney-General; (2) the Permanent Secretary of the Ministry of
* Maintaining clients' assets in custody 25 million baht** Providing management services of Mutual Fund (MF), Private Fund (PF) Derivative Fund Manager (DF) to general investors 25 million baht Providing
Products (IC complex 1 / IC complex 2 / IC complex 3) Qualifications of Applicants for Approval of Investment Consultant on General Products (IC plain) Training Courses - New Courses (Examination
securities borrowing and lending business under Clause 1 means providing service, in normal course of business, to general public with a view to effectuating securities borrowing and lending, regardless of
distribution to class A and receive after paying to class A ( 5 ) Transfer from a provident fund (PVD) or retirement mutal fund (RMF) (using the existing RMF rather than establishing a new fund) General