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
PAGE - 6 - เอกสารรับฟังความคิดเห็น เรื่อง หลักการและร่างประกาศเกี่ยวกับการจัดตั้งและจัดการ กองทุนรวมเพื่อลดก๊าซคาร์บอน (Carbon Fund) จัดทำโดย สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ เอกสาร
__________________________________________________ _____________________________________________________________________ 6. I/We affirm that the units of the NRI CIS will be offered entirely to non-retail investors, including institutional, high net
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
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
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
its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
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
associated companies. The information in this part shall be described in brief and the details thereof shall be disclosed in attachment; (5) Under-construction projects. (Only in case of high-value, time