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
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
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
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
company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or
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
Gazette; or (6) newly established limited company or public limited company to undertake securities business in the category of private fund management under this Ministerial Regulation whose shares are
Licensees Approval Date 1 THE HONGKONG AND SHANGHAI BANGKING CORPORATION LIMITED 17 April 2002 2 BANG OF AYUDHYA PUBLIC COMPANY LIMITED 16 October 2003 3 DEUTSCHE BANK AG BANGKOK BRANCH 15 July 2004 4
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specific law as specified by the SEC and published in the Government Gazette; or (6) newly established limited company or public limited company to undertake securities business in the category of private