shares with voting right; (15) a foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis; “retail client” means a client other than an institutional client
exceeding seventy-five per cent of the shares with voting right; (15) a foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis; “retail client” means a client
foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis ; “retail client” means a client other than an institutional client; “inside information” means the
before making a decision to use the services and [ii] possible risks arising from using the services: (1) general information of the intermediary ; (2) characteristic, scope and condition of a service
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis. Clause 2. This Notification
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of
characteristic in Group 1 under Clause 29; (2) having a record of being punished or legally proceeding against for management in the manner of deceit, fraud or dishonesty1 relating to offences against property as