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Printable Format - Laws and Regulations Investment Advisory |- Licensing/Ministerial Regulation |- Activities not deem to be classified as operating securities business |- Business Operation Rules

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would be required to ensure that investors who are not legal entities classified as institutional investors, ultra-high-net-worth investors or high-net-worth investors take a knowledge test before

Personnel in Capital Market dated June 3, 2014; classified as prohibited characteristics of personnel in capital market according to Clause 31(1) of the same Notification. Meanwhile, {A}, then a branch

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