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the Securities and Exchange Act B.E. 2535, the Finance Minister prescribes the Ministerial Regulations as follows: Clause 1 Application and approval on establishment of limited company or public
providing services. Clause 2 Person intending to undertake securities business in the category of inter - dealer brokerage shall file an application for approval of establishment of limited company or public
under Clause 3, the approved person shall proceed with establishment of new limited company or public limited company for operating securities business in the category of venture capital management as
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
Gazette; or (6) newly established limited company or public limited company to undertake securities business in the category of private fund management under this Ministerial Regulation whose shares are
SEC’s Notification. Clause 3 In case where the SEC is of the view that limited company or public limited company so established has qualifications as specified in this Ministerial Regulation, the SEC
years; (3) a bar from serving as a director or executive in a listed company or a securities company for up to 10 years; and ( 4) a reimbursement of investigative expenses incurred by the SEC. A
company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or
established under specific law; or (6) newly established limited company or public limited company to undertake securities business in the category of investment advisory service under this Ministerial