. Securities Trading Center is another type of secondary market. Any company wishing to establish and provide service as a securities trading center must apply for a license from the SEC Board. The application
. Securities Trading Center is another type of secondary market. Any company wishing to establish and provide service as a securities trading center must apply for a license from the SEC Board. The application
securities issuing company must disclose the minimum requirements in a format and within the specified period, and the following information is required: Application for the offer for sale of shares (form 69-1
invest, and not misleading in substance Other qualifications Summary of important criteria in relation to the issuing and offering of shares Request for approval Disclosure of information Subscription
: Detail Content -Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking Securities Business License in the Category of Investment Advisory Service B.E. 2545 By virtue of
information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses inside information related to a securities issuing company Nature of the acts Purchase
information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses inside information related to a securities issuing company Nature of the acts Purchase
Executives of Securities Issuing Companies The Notification of the Office of the Securities and Exchange Commission No. SorChor. 23/2553 Re; Forms and Procedures for Filing or Changing Information on Issuing
dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5. Mutual fund management 6. Private fund management
, provided that: 1) The dividend payment must not increase the mutual fund's retained loss in that accounting period. 2) Dividend payment by issuing investment units to unitholders is prohibited. Retained