for Establishing Branch Offices of Intermediaries dated 26 June 2013). Details Yes No 4.1 Maintenance of net capital or shareholders' equity: (a) In case of intermediary subject to the net capital rules
, policy and operating plan of the company and units of the company should be clearly prescribed and conform to the fiduciary duties and good corporate governance with an aim to enable the management company
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
units of the mutual fund with the ninety-day redemption period limit and the policy to invest no less than eighty percent of its net asset value in any of the followings: (a) investing in any one or
the securities company start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange
derivatives broker start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange Commission
than the units of the fund that invest in assets of a project in which thirty per cent of the net asset value is a greenfield project and has no classification of units.; (b) the class to be specifically
........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on
เกี่ยวกับกระบวนการขายผลิตภัณฑ์ในตลาดทุน 3.1.1 การจัดประเภทผู้ลงทุนรายใหญ่พิเศษ (ultra high net worth : “UHNW”) และผู้ลงทุนรายใหญ่ (high net worth : “HNW”) ผู้ประกอบธุรกิจต้องมีแนวทางการพิจารณาคุณสมบัติ
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means