. Clause 5. The policies and procedures mentioned in Clause 4. must be regularly reviewed within the timeframe deemed appropriate by the securities company. Clause 6. Securities company must designate an

6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this

the form of high quality assets with adequate liquidity. Derivatives clearing houses shall establish clear plans to obtain additional sources of funds in cases where their capital is insufficient for

and Hotel Management Agreements and the investment in the Target Group Hotels and Resorts through the purchase of equity in the Target Company; and Page 4 of 18 (5) to appoint and designate other

, and shall be in the form of high quality assets with adequate liquidity. Securities clearing houses and central securities depositories shall establish clear plans to obtain additional sources of funds

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 virtue of

. Notification of the Securities 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

เอกสารรับฟังความคิดเห็น เร่ือง 1. การอนุญาตให้เสนอขายตราสารหนี้ท่ีไม่มีการจัดอันดับความน่าเชื่อถือ (unrated bonds) และกองทุนรวมท่ีสามารถลงทุนในตราสารหนี้ท่ีมีความเสี่ยงสูง (high yield bonds) ต่อผู้ลง

conducting its business at a high standard of Good Corporate Governance practices, particularly regarding the rights and equitable treatment of its shareholders. It is our responsibility to enhance the

investor”, “ultra-high net worth investor” and “high net worth investor” shall have the same definitions as specified in the Notification of the Securities and Exchange Commission concerning Determination of