but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public
Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed
failure to prepare and submit the result of the bonds sale report for institutional investors (II) within the period specified in the notification of the SEC resulted from the instruction or the failure to
principle that the asset classes eligible for the repurchase (repo) and reverse repurchase (reverse repo) agreements between the securities companies and non-institutional investors be extended to include
) Toyota Leasing (Thailand) Co., Ltd. offering corporate bonds exclusively to institutional investors and high net worth investors at the amount of 500 million baht for a maturity term of 11 months and 29
services for non-institutional investors; (4) 10 million baht for undertaking securities business in the category of mutual fund management or private fund management to provide
Bangkok, 22 September 2016 ? The SEC is seeking public comments on the Investment Governance Code (I Code), which contains guidances for institutional investors to manage investment policies and
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
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