and Exchange Commission No. Kor Jor. 4/2560 Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor ___________________________ By
High Net Worth Investor and High Net Worth Investor . Clause 3 A securities business license applicant and licensee shall have paid-up registered capital of no less than the following amounts: (1) one
undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units
) educational background; (b) work experience; (c) investment experience; (3) provide guideline for providing information or details of high-risk or complex capital market products especially details on damage
consultation on capital market product having high-risk or complex characteristics only specifically to investment unit and debt instrument having high-risk or complex characteristics ; (c) complex instrument
Notification of the Securities and Exchange Commission regarding Determination of Definitions of Institutional Investor, Ultra High Net Worth Investor and High Net Worth Investor . “ private equity ” means a
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
Part C: Distribution of NRI CIS and CIS Operator’s Local Representative Arrangement for Distribution 17) Units in NRI CIS will be offered/ marketed in Thailand by the following intermediaries who are
securities dealing under foreign law; (5) “ retail client ” means a client who is not an institutional investor or a high net worth investor; (6) “ institutional investor ” means an institutional investor as
inappropriateness with conditions of such intermediary ’s business; (c) is not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the