sector. Principles for prescription of paid-up registered capital Business Activities Paid-up Registered Capital Taking obligations and responsibilities in clearing & settlement systems 100 million baht
securities Private Placement General approval / no duty to disclose information Public Offering Require approval / disclosure of information Impact and mechanisms to preserve the right of stakeholders
securities for dissemination to dealers and providing a system for matching orders placed between dealers or any systems to facilitate trading of securities between dealers. Clause 4 This Notification
pertaining to rules for approval of offer for sale of units of the trust within five years before submitting the application Obtaining approval from the SEC, thereby in readiness of work systems and personnel
securities depository centers, the supervision will emphasize on the mechanisms to protect the assets of their members and cclients as well as the issuance of their rules must be approved by the SEC Board
transactions with measures or control mechanisms of check and balance for fairness of the transactions; in case of transactions with conflicts of interest with the REITs, the unitholders should have been
approval of wealth advisory services Application for approval of changes in the work systems/others Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Business Operators
systems and staffs; in case of a non-asset management company, additional qualifications are required such as a paid-up capital of not less than ten million baht, having at least one-third of independent