filed with the SEC via the SEC office in form and together with supplementary documents specified in the SEC’s Notification as published in the Government Gazette. Clause 3 The SEC shall recommend
with the Minister for his approval under the SEC’s recommendation. Such application shall be filed with the SEC via the SEC office in form and together with supplementary documents specified in the SEC’s
means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
establishment of mutual fund (1) Applying for normal approval The mutual fund management company shall submit an application for approval of the establishment of a mutual fund together with all required
Operating Income for Annual Transaction Levy Calculation (Form 14-2) (Notification No. SorThor/Nor/Yor. 59/2546) To be filed by January 31 of the following year, together with the 1st installment of the
also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out
company for operating securities business in the category of venture capital management with the SEC Office within the period of time, in form and together with supplementary documents as specified by the
paragraph shall be filed together with supplementary documents specified the SEC’s Notification as published in the Government Gazette, as well as two copies thereof. Clause 6 In case where the SEC is of the
Regulators (IFIAR), a multilateral and international forum that brings together independent audit regulators from different jurisdictions. The regulatory body wishes to be a member of IFIAR shall be