staff of the SEC Office. Additionally, those experts shall be the combination of the one as representative of investors , the one being securities or derivatives trading expert and the two appointed from
combination of the one as representative of investors , the one being securities or derivatives trading expert and the two appointed from the name list proposed by association . The committee shall appoint one
to regulations on approval and standards of conduct for personnel in such securities businesses under various notifications. It is, therefore, appropriate to allow one person to contact investors in
following regulations: Clause 1 The Notification of the Securities and Exchange Commission No. Kor Chor. 9/2555 Re: Determination of Definitions of Institutional and High Net Worth Investors dated 9 July 2012
include it as part of the package of this form NRI CIS Application Form To: Secretary-General Securities and Exchange Commission, Thailand Re: Application to offer NRI CIS to non-retail investors in
only to institutional investors whose business does not fall under (1)(c)1, 2 or 3; (4) one million baht for securities business that does not fall under (1)(2) or (3). Clause 4 This Notification shall
Commission No. KorThor. 3/2551 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investors _____________ By virtue of Clause 3 and Clause 9 of the Derivatives Act B.E.2546
issues the following regulations: Clause 1. The following juristic persons shall be institutional investors under Section 3 of the Derivatives Act, B.E. 2546 (2003): (1) a commercial bank; (2) the Bank of
as organized by the SEC Office, shall be the dispute that represents the amount of damages claimed by each customer not more than one million baht. Clause 2. This Notification shall come into force as
reference. PAGE 4 Notification of the Capital Market Supervisory Board No. Tor Nor. 89/2558 Re: Rules for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional