filings the offeror + FA together submit the application and certify the correctness of information provided. 2. Listing in the Stock Exchange no restrictions listing in the Stock Exchange is required 3
correctness of information provided. 2. Listing in the Stock Exchange no restrictions listing in the Stock Exchange is required 3. Offer for sale through an underwriter no restrictions with restrictions 4
conditions will be simple which only require the decision of the shareholders' meeting, without having to clearly state that the shares are allocated to directors, employee) Securities: Shares Convertible
allocation of shares for Initial Public Offering (“IPO shares") which are allocated to sponsors and related parties (“RP") are prescribed to prevent concentrated allocation to sponsors and RP which will enable
under its responsibility Ensure that units offered for sale exclusively for high net worth investors are not allocated to retail investors Oversee to ensure that the trust is not becoming a private trust
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
, 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
Details Regarding the Services with Specific Features Provided by Securities and Derivatives Business Operators (No.3) The Notification of the Office of the Securities and Exchange Commission No. SorThor. 2
limited company to undertake such business with the SEC Office, provided that such application shall be in form and attached with supplementary documents as specified by the SEC. Clause 3 In case where the
shall file an application for approval of establishment of limited company or public limited company to undertake such business with the SEC Office, provided that such application shall be in form and