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
receiving appropriate level of protection. AI comprises (1) institutional investor* such as commercial bank, mutual fund, provident fund and (2) investors with high net worth, which means (i) an individual
”, “registration statement”, “bill”, “short-term bill”, “high net worth investor”, “institutional investor”, “short-term bond” and “structured note” shall have the same definition given to them under the
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
Department and the Corporate Monitoring Department have been merged to be in charge of fully-fledged supervision of listed companies, while the Fin Tech Department is the center of digital asset-related
50 founders or parties related to a project in 12 months; (2) any persons in a combined amount of 20 million baht in 12 months; or (3) institutional investors, venture capital enterprises, private
net worth investors and venture capital enterprises, but no more than 300,000 baht to each individual investor. A combined amount sold to individual investors must be no more than four times of
trust manager, as well as overseeing the trust manager’s performance of duties as prescribed in the trust deed; (5) Only institutional investors and ultra-high net worth investors* shall be eligible as