Approval on Offer for Sale of Structured Notes (No. 4) dated 28 March 2018 (effective on 1 April 2018). 7 approval for an offer for sale of structured notes, indicating that the facts and circumstances that
policy specifies investment in derivatives without the objective of hedging or investment in structured notes. In this regard, the fund facts of the prospectus shall contain the additional particulars and
", "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
(UNOFFICIAL TRANSLATION) Factsheet Form: Structured Notes and Explanation Factsheet Information as of [day/month/year] 1 * II means institutional investors. HNW means high net worth investors. 1
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
”, “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
offer for sale of debt securities, if the offeror has disclosed material facts which are not stated in the registration statement and draft prospectus to any specific person for the purpose of analyzing
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
: (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