, derivatives fund manager, investor contact and derivatives investor contact shall receive an approval from the SEC Office and whereas the flood catastrophe may cause obstacle and inconvenience to such persons
large number of part-time staff, became a major obstacle for the audit firms in developing and promoting their audit staff to the mid- and high-level management positions. For 2015 inspections, the SEC
PRI signatories in 2021 New high record of USD 121 trillion collective AUM The rise of sustainable investing & the growing shift to intangible. Thailand perspective: Source: PRI report, Morning Star
competition which is the obstacle for raw material import, therefore the import materials would be high price, the Company is in feasibility study for new good trend business. Enclosure 9. Conditions for the
, since steel business at present could not earned much profit due to tax competition which is the obstacle for raw material import, therefore the import materials would be high price, the Company is in
Company. Enclosure For the Company’s business operation, since steel business at present could not earned much profit due to tax competition which is the obstacle for raw material import, therefore the
Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a
procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee Meeting No. 4
) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
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 ___________________________ By