business, employee, staff, advisor earning regular monthly salary, controlling person during the period of two preceding years. Relaxation of this requirement is in the case where the person is retired as a
under this Ministerial Regulation shall be any of the followings- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance business, securities
investment advisory service under this Ministerial Regulation shall be any of the followings- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance
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
under the Securities and Exchange Act B.E. 2535 is hereby repealed.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
foreign commercial bank or foreign life insurance company under the third paragraph shall also have qualifications specified under the second paragraph. Clause 4 Limited company or public limited company
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund management company and the mutual fund supervisor is informed and acknowledged about the situation. (5) The
invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund management company and the mutual fund supervisor is informed and acknowledged about the situation. (5) The
inspection prior t o approval. (2) Normal: auditors who do not meet the Fast Track qualifications will be inspected by the SEC prior to approval. The inspection may include, but not limited to a