institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may
Maintenance of capital funds and reserve (only in the case of a CB. or FC.) - a documentary evidence showing that the applicant is capable of maintaining capital funds and reserve prescribed by the law
Maintenance of capital funds and reserve (only in the case of a CB. or FC.) - a documentary evidence showing that the applicant is capable of maintaining capital funds and reserve prescribed by the law
15 The Thai government agencies that offer bonds or corporate bonds shall have the following qualifications: (1) being capable of lawfully offering the bonds or corporate bonds in accordance with the
directors and persons with power of management , without conflict of interest which may cause the lack of independency in proceeding mutual fund rating, and is capable of operating the work impartially and
financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
sale each time that the issuer shall not accept transfer registration of bonds in any level if such transfer is inconsistent with the transfer restriction as indicated and registered with the SEC Office
debt securities in any level if such transfer is inconsistent with the transfer restriction as indicated and registered with the SEC Office; (3) complying with the rules prescribed in Clause 33 or Clause
rating, and is capable of operating the work impartially and fairly. The investment advisory company shall submit an application for approval to the Office together with the document evidences as