information in materiality for client's investment decision making. Following a report on the client's complaint filed by the Ministry of Finance, the SEC further probed into the case and found that {A} gave
for their investment decision while the List can also be of use for securities companies? risk management. Considering that Thai capital market has been developed with significant growth rate over the
Exchange Commission No. Kor Mor. 24/2562 Re: Determination of Fees for Undertaking Businesses According to Licenses ________________________ By virtue of Section 14(2) of the Securities and Exchange Act B.E
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
[existing] clients of an intermediary; “institutional investor”5 means an institutional investor as specified in the Notification of the Securities and Exchange Commission concerning the Determination
No. KorThor. 3/2551 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investors _____________ By virtue of Clause 3 and Clause 9 of the Derivatives Act B.E.2546 (2003
damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorKhor. 7/2551 Re: Determination of Paid-Up Registered Capital of Securities