liquidity products and very limited access to secondary markets. - In case there is not a 100% principal guarantee, the investors may loss a whole or partial of the principal. - The structured notes are more
: (1) “bond” means a secured bond, an unsecured bond, a convertible bond, a structured note or a subordinated bond, whether or not the issuer provides a bond holder representative; (2) “secured bond
. Notification of the Capital Market Supervisory Board Tor Jor. 12/2559 Re: Application and Approval for Offer for Sale of Structured Notes ____________________ By virtue of Section 16/6 of the Securities and
exchange, promisory notes, bonds and debentures but excluding structured notes and debenture imposing obligation on debenture holder. In case the remaining time to maturity of the debt instruments under
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 5/2560 Re: Rules on Personnel in the Capital Market Business (No.6) dated 9 February 2017 (effective on 1 January 2018). 3 (d) structured
”, “registration statement”, “bill”, “short-term bill”, “high net worth investor”, “institutional investor”, “short-term bond” and “structured note” shall have the same definition given to them under the
worth investor”, “institutional investor” , “structured notes”, and “short-term bond ” shall have the same meanings as defined in the Notification of the Securities and Exchange Commission concerning
", "institutional investors", "executives", "controlling person", "short- term bonds" and "structured notes" shall have the meaning given to them under the Notification of the Securities and Exchange Commission on