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
proposed today the measures to enhance quality of investment research and personnel in securities business and a channel to expand investor base by means of ?introducing agent?, a success story of securities
products and services in line with international standards. Also, the general public can access and make use of capital market by means of fundraising and investment, as the case maybe. The strategic plan
the audit committee?s reports were concluded from information asked from the accounting units working on the suspicious issuers. They neither reviewed documents nor examined by any other means despite
later date.** Suspension of dealing means the suspension of subscriptions and redemptions of mutual fund units by an asset management company in the event of unforeseeable circumstances pursuant to Clause
of the Securities and Exchange Commission governing determination of definitions in notifications relating to issuance and offer for sale of securities; (2) “warrant” means a share warrant; (3
structured notes" means structured notes with a maturity date of not exceeding 270 days from the issuance date of such structured notes. "company" means: (1) a private limited company or public limited company
/2560 Re: Offer for Sale of Debt Securities of Thai Government Agencies (No. 3), dated 6 March 2017. Clause 3 In this Notification: “debt securities” means the following debt securities that are newly
for Approval of Foreign Company to Offer for Sale of Newly Issued Debt Securities in Thai Baht (No. 3) dated 16 January 2018. Clause 3 In this Notification: “foreign entity” means any of the following
: Custody of Clients’ Assets by Securities Companies dated 16 May 2008 shall be repealed. Clause 3 In this Notification: (1) “ asset ” means: (a) cash; (b) securities; (c) other assets ; (d) any benefits