resolution shall not have been passed more than one year. Public advertisement is prohibited. Promotion materials can only be distributed only in the PP cycle. Must not co-sign the filing to allow PP
Independent Audit Inspection Activities Report for the 1st Cycle 1 October 2010 - 31 December 2012 Independent Audit Inspection Activities Report 1 October 2010 - 31 December 2011 The results of a study of
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
the Securities and Exchange Act B.E. 2535, the Finance Minister prescribes the Ministerial Regulations as follows: Clause 1 Application and approval on establishment of limited company or public
: 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
Ministerial Regulation shall- (1) be a limited company or a public limited company newly established to operate securities business in the category of venture capital management; (2) have objectives limited to
under the Securities and Exchange Act B.E. 2535 is hereby repealed. Clause 2 Person intending to apply for operate securities business license in the category of mutual fund management shall be limited
Apply for Approval on Establishment of Limited Company or Public Limited Company to Undertake Securities Business in the Category of Mutual Fund Management and Period for Filing Application By
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
providing services. Clause 2 Person intending to undertake securities business in the category of inter - dealer brokerage shall file an application for approval of establishment of limited company or public