approval to offer debt securities for sale. This will allow the SEC to carry out a preliminary scrutiny of qualifications of issuers for investors. Disclosure – issuers are required to make complete and
> Secondary Market and Related Entities > Association related to Securities Business Regulations SHARE : Detail Content Related Associations The securities companies may jointly establish a non-profit
terms of the derivatives contract specification, etc. Clearing House An important part of trading in securities and derivatives is to ensure that both counterparties will carry out their agreed
terms of the derivatives contract specification, etc. Clearing House An important part of trading in securities and derivatives is to ensure that both counterparties will carry out their agreed
the Securities and Exchange Act B.E. 2535; (b) net profit or not loss from operation during three consecutive years prior to the year of filing the application; (c) any step taken by the
net assets and net liabilities shall not be less than paid-up registered capital in the amount specified in Section 96 of the Securities and Exchange Act B.E. 2535; (b) net profit or not loss from
) / acquisitions/ dispositions of assets no restrictions subject to transaction sizes 10. Return payment > = 90% of net profit 11. Establishment contract of a trust (a Trust Deed) at a minimum as specified by laws
sale and allocation of units An offer for sale shall be carried out through an underwriter. The offeror may arrange proportions of units to be allocated to different groups of investors. This shall be
. Return payment > = 90% of net profit 11. Establishment contract of a trust (a Trust Deed) at a minimum as specified by laws + restrictions in transfer of trust units with provisions in more details
the accounting periods that the mutual fund have retained earnings or net profit, provided that: 1) The dividend payment must not increase the mutual fund's retained loss in that accounting period. 2