required to regularly supervise the service providers to ensure efficiency of the performance (except for group 2 functions). Applying for Approval and Reporting Guidelines No prior approval or
. Regulations on issuing equity instruments are aimed at protecting the following group of investors: New investors purchasing securities – the company is required to have appropriate qualifications and disclose
pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
oversight 2. Auditor supervision 2.1 Regulatory Summary of Approved Auditor in Capital Market 2.1.1 Filing of Application Auditor wishing to file an application for approval with the
with the offering price lower than 90 percent of the market price, to a specific investor or group of investors whether in private or public. Calculations of the offering price Shares
Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business Qualifications of Applicants for Approval of Capital Market Investment Analyst on Fundamental Factors
Regulations The Notification of the office of the Securities and Exchange Commission No. SorShor. 39/2553 Re: Approval of Auditors in the Capital Market. (Codified) The Notification of the office of the