assets under custody are worth more than 15 million baht for five consecutive days. In addition, digital asset business operators are required to maintain net capital in accordance with the specified
12 months; (2) any persons in a combined amount of 20 million baht in 12 months; or (3) institutional investors, venture capital enterprises, private entity funds or ultra-high net worth investors. In
พิเศษ (Ultra High Net Worth: UHNW) ผู้ลงทุนรายใหญ่ (High Net Worth: HNW) และ Public offering: (PO) โดย issuer ต้องยื ่นคำขออนุญาตกับสำนักงาน ก.ล.ต. และ แบบแสดงรายการข้อมูล โดยเปิดเผยข้อมูลให้ครบถ้วนตาม
investors (II), venture capital funds (VC), private equity funds (PE), ultra high net worth investors (UHNW)22, as well as retail investors with some investment limit. • Retail investors should be allowed to
comprehensive array of financial services, and diverse demands of different groups of investors, such as bank depositors, high net worth investors, and Islamic and Asian investor group that has become
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...
upward trend with 194,193 million baht worth of new securities issued during the year. Although it was inevitably affected by the September 11th incident in the U.S., the market was able to quickly recover
another country, a private placement to institutional investors or high net worth investors, or an offer for sale of debt securities of a foreign entity under the following notifications, the registration
Bondholders Issued by Financial Institutions (No. 4) dated 7 November 2014. Clause 3 In this Notification: The terms "executive", "high net worth investor", and "structured note" shall have the same definitions
securities dealing under foreign law; (5) “ retail client ” means a client who is not an institutional investor or a high net worth investor; (6) “ institutional investor ” means an institutional investor as