Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a
, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors
, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee
maturity period prescribed in the disclosure document. Automatic redemption would require pre-specified terms and conditions, and investment would be limited to institutional and ultra-high-net-worth
นามโดย electronic signature” ตารางสรุปวิธีการยื่นเอกสาร ประเภทการเสนอขาย คำขออนุญาต ข้อมูล feature/ เอกสารประกอบ แบบ filing รายงานผลการขาย รายงานไถ่ถอน ก่อนกำหนด/ ใช้สิทธิ (1) วงจำกัด PP10 (จำกดัจำนวน
investors ” “ high net worth investors ” “ registration statement ” “ parent company ” “ subsidiary company ” “ executive ” “ major shareholde r ” and “ controlling person ” shall have the same meaning as
worth investors” “registration statement” “parent company” “subsidiary company” “executive” “major shareholder” and “controlling person” shall have the same meaning as defined in the Notification of the
Securities. (b) in case of reporting the result of the sale of debt securities, the terms “debt securities” “short-term bonds” “ short-term bills” “institutional investors” “high net worth investors
benefits related to any financial product sellers. Such advice must be made online via website or electronics channels with a feature for general people’s participation for comments.Investment advisors
and Exchange Commission No. Kor Jor. 4/2560 Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor ___________________________ By