transaction of listed company rule, which is a middle size of worth over 1 million baht but less than 20 million baht, which the company is obligated to get approval from the Board of Directors and disclose the

Re: Rules in Detail of the Work System and Management of Mutual Funds for  Institutional Investors or Ultra-High Net Worth Investors, dated 1 February 2019.**  Regulatory Guillotine is the

with the highest legal penalty. The SEC has sought the Court’s ruling (1) to impose a civil fine worth 1,000,000 baht on Mr. A, (2) to prohibit Mr. A from securities trading or entering into

highest legal penalty. The SEC has sought the Court’s ruling (1) to impose a civil fine worth 1,000,000 baht on {A}, (2) to prohibit {A} from securities trading or entering into derivatives contracts for

by default in related bonds, including subordinated perpetual bonds, and bonds issued by a company undergoing rehabilitation. ** Ultra-high net worth investors are:    (1)  A juristic person having

without collateral and to exercise their voting right at the shareholders? meeting on October 28, 2015.CIRKIT is seeking the shareholders? approval to (1) invest in 676.10 million baht worth of non

law; (5)1 “retail client” means a client who is not an institutional investor or a high net worth investor; (6)2 “institutional investor” means an institutional investor as defined by the Notification

fund; (10) private fund managed by securities company for investment of investor under (1) to (9) or (11) to (26) or high net worth investor; (11) provident fund; (12) Government Pension Fund; (13

defined by the Notification of the Securities and Exchange Commission concerning Determination of Definitions of Institutional Investor and High Net Worth Investor ; (6/1) “ high net worth investor ” means

Trust regarding high net-worth investors and retail investors are summarized as follows:      Subjects​ High Net-Worth Investors Retail Investors 1. Application for sale of the units and submission of the