[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
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, a...
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
banking system, with market shares of 13.94 percent, 14.78 percent, and 13.97 percent, respectively. Within the entire commercial banking system, 19 domestically- registered commercial banks and 11 foreign
capital market products which are shares or share warrants of a company wherein the client is an existing shareholder as of the investment date or the date of obtaining the shareholders’ rights; (4) a
invest in capital market products which are shares or share warrants of a company wherein the client is an existing shareholder as of the investment date or the date of obtaining the shareholders’ rights
clients. In addition, we remained cautious in credit underwriting of small and micro businesses, and focused mainly on existing customers with good track records or classified as low-risk customers. 2.2
mainly on borrowers with good track records, as well as existing low-risk customers. 2.2 Market Risk Management Overall, movements in foreign exchange and interest rates at home and abroad remained