by default in related bonds, including subordinated perpetual bonds, and bonds issued by a company undergoing rehabilitation. ** Ultra-high net worth investors are: (1) A juristic person having
, insurance company, and mutual fund (2) high-net-worth individual (3) retail investor or juristic person with minimum of 2 million baht initial subscription. The persons in (2) and (3) will be required to have
stipulated in the first paragraph so as to enable an inspection by the Office. Affiliated transaction of the fund under the first paragraph shall not include the transaction in which any related person
in which any related person purchases an investment units of the mutual fund under management of the mutual fund management company.” Clause 2. The provision in Clause 14 of the Notification of the
Securities dated 24 December 2010 specifies that any person intending to make an offer for sale of units of foreign ETF in Thailand may file an application with the SEC Office for examination of such units of
suspension in undertaking derivatives business as a derivatives dealer by the regulator of its home country . Clause 5. The juristic person under Clause 2 that wishes to register as a derivatives business
credit for securities business under the law on Securities and Exchange; (4)1 a juristic person established under foreign law, which is a derivatives business operator in the category of derivatives dealer
Stock Exchange of Thailand, the SEC probed into the case and found that {A} had sold 711,300 {X1} shares in a trading account of a juristic person where he is an authorized director and holds 99.98
securities trading account of another person for her own or others? benefits in such a way that taking advantage of others. The selling was made by using material non-public information concerning a 129.83