. *Except agricultural derivatives licenses whose the minimum registered capital remains at the previous level of 50 million baht. ** It should be noted that as Section 96 of the Securities and Exchange Act
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
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
operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the
from a closed-end fund to an open-end fund is originally specified in the scheme prior to the first offering of the investment units, or a resolution of approval is obtained from the unitholders with
years; (4) The agreement contains a statement that customs have the right to terminate the agreement for management of a private fund within five business days without giving prior notice to the private
. Within two years prior to the filing of the application for an approval, the applicant has never breached any provisions on the use of proceeds of the bonds - Applicable to the offering of bonds only