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
the quality risks in Acceptance and Continuance of Client Relationships and Specific Engagement element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1
Public Hearing System :: สำนักงานคณะกรรมกำกับหลักทรัพย์และตลาดหลักทรัพย์ แบบสำรวจความคิดเห็น Hearing Home การอนุญาตให้จัดตั้งกองทุนรวมตราสารหนี้ที่มีความเสี่ยงสูง (High Risk Fixed-Income Fund
advanced technologies from overseas can generate high returns for investors on a daily basis and even higher gains if the existing investors successfully solicit others to join the investment scheme
Earlier, the SEC issued regulations on establishment and management of high-yield bond funds, which have been effective since 1 August 2021. The regulations aim to provide bridge financing for high
Exchange Act (No. 2) B.E. 2542 (1999) , the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 In this Notification: The terms, “ institutional investor ,” “ ultra-high net
Act (No. 2) B.E. 2542 (1999), the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 In this Notification: 1The terms, “institutional investor,” “ultra-high net worth
Act (No. 2) B.E. 2542 (1999), the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 In this Notification: 1The terms, “institutional investor,” “ultra-high net worth
the Securities and Exchange Commission  Kor Khor. 8/2554 Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives (Codefied) 28
. Notification of the Securities and Exchange Commission  Kor Khor. 8/2554 Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives