consultant on general products. − − ✓ Only examination on derivatives, high-risk or complex of debt securities and mutual funds is required. 8 Manager of securities company undertaking derivatives business or
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
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 virtue of
. Notification of the Securities 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
-up capital of 500 million baht for undertaking the following businesses ? brokerage, dealing and underwriting of securities, investment advisory, mutual fund/private fund management, securities
that should be suitable for each type of investors. She also mentioned the public hearing process that the SEC is undertaking to enhance regulatory rules and supervision of bond market to protect
securities which come with high application fees and do not answer the need of business operators who wish to provide specific services. The SEC has therefore revised the Ministerial Regulation on Securities
AIA Investment Management Private Limited Undertaking for Collective Investment in Transferable Securities (UCITS) (Luxembourg) (Large Cap) 2. AIA Global Multi-Factor Equity AIA Investment Management
Limited Undertaking for Collective Investment in Transferable Securities (UCITS) (Luxembourg) ? 1. (Structured Note) 2. (Unlisted Securities) (Derivatives) (Hedging) (Foreign Exchange Rate Risk) (USD) (USD
Determination of Definitions of Institutional and High Net Worth Investors 09/07/2012 01/08/2012 2. Notification of Capital Market Supervisory Board TorThor. 23/2553 Rules for Undertaking Derivatives Business