high net worth individual only. To widen investors? investment choices of increasing return or creating variety and complexity of investment strategy, the AI funds will be allowed to invest in
Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company Derivatives Dealer Licensed Derivatives Dealer Securities Investment Advisor Securities Company and Other
the SEC’s recommendation may give a waiver of such disqualified characters to such person; (b) for individual, [such individual] shall not have the disqualified characters under (a)(iii), mutatis
oversee the auditors of PIEs, protect investors? interest and promote confidence in the quality and reliability of audited financial statements of PIEs. As at 31 May 2015, a total of 306 individual auditors
oversee the auditors of PIEs, protect investors? interest and promote confidence in the quality and reliability of audited financial statements of PIEs. As at 31 May 2015, a total of 306 individual auditors
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
law on concerning agricultural futures trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of Thailand; (21) juristic person in the category of
net worth investors and venture capital enterprises, but no more than 300,000 baht to each individual investor. A combined amount sold to individual investors must be no more than four times of
: …………………………………………………………………………..……………………….... ……………………………………………………………………………………………….……….……… ……………………………………………………………………………………………………….…….… 2. Information about individual or entity you have a complaint against Name : Juristic person Ordinary person ……………………………………………………………………………………………………….……… Objective of the complaint wished to be
raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data