offering of investment units issued by general mutual funds in Thailand, such as the requirements on prospectus, fact sheet and annual report. In addition, a local representative or representative office
Mr. Amit Prakash Mr. Amit Prakash, Managing Director of Polyplex (Thailand) Public Company Limited (“PTL”), and director and representative of juristic person of Polyplex (Asia) Pte. Ltd. (“PAPL
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
oversee the auditors of PIEs, protect investors? interest and promote confidence in the quality and reliability of audited financial statements of PIEs. As at 31 May 2015, a total of 306 individual auditors
net worth investors and venture capital enterprises, but no more than 300,000 baht to each individual investor. A combined amount sold to individual investors must be no more than four times of
, insurance company, and mutual fund (2) high-net-worth individual (3) retail investor or juristic person with minimum of 2 million baht initial subscription. The persons in (2) and (3) will be required to have
institutional investor or high net worth individual, investment units to be offered for sale must be disclosed on the SEC website and be traded at the same time and on the same day as its home country, except in
at a particular interest rate; (3) the total redemption value is equivalent to the par value of the bonds, either with single or multiple redemptions; (4) a bondholders’ representative shall be