sale newly issued securities in the category of of debt securities to high-net-worth investors on a program basis without providing its securities for credit rating prior to the offer for sale of the
supervision were insufficiently stringent because CL did not inspect that the accurate information was in place to ensure the status of qualified customers as high net worth investors. SEC Act S.113
เอกสารรับฟังความคิดเห็น เร่ือง 1. การอนุญาตให้เสนอขายตราสารหนี้ท่ีไม่มีการจัดอันดับความน่าเชื่อถือ (unrated bonds) และกองทุนรวมท่ีสามารถลงทุนในตราสารหนี้ท่ีมีความเสี่ยงสูง (high yield bonds) ต่อผู้ลง
In recent times, investors are seeking high profits by investing in assets, which are deemed to yield more returns than deposits. However, such high returns also come with greater risks
, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved the relaxation on rules applicable to mutual funds for AIs (institutional and high net worth investors). The relaxed
institutional and high net worth investors and an offering to a limited number of specific investors are more relaxed than those governing a general public offering.? However, recently there have been some cases
เท่านั้น เพื่อเป็นการลดค่าใช้จ่ายแก่ผู้ออกหุ้นกู้ อย่างไรก็ดี กรณี shelf filing หุ้นกู้ระยะยาว ผู้ออกต้องเป็น investment grade โดยมีระยะเวลา shelf filing ไม่เกิน 3 ปี 2. จัดกลุ่มผู้ลงทุนรายใหญ่ (high net
(SALEE) in a manner that inflated and stabilized the price of such securities in concealment to mislead the public to believe that the trading volumes were substantially high and the prices of SALEE
) in concealment to mislead the public to believe that the trading volumes were substantially high and the price of SST securities changed which was inconsistent with the normal market conditions. In