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
” means the Thai Bond Market Association which has been licensed by and registered with the SEC Office. The terms "credit ratings", "registration statement", "listed companies", "high net worth
worth investor”, “institutional investor” , “structured notes”, and “short-term bond ” shall have the same meanings as defined in the Notification of the Securities and Exchange Commission concerning
through four transactions of the company’s advance payment for four business partners worth totaling 265 million baht and by falsifying revenue worth totaling 44 million baht. The revenue was not a result
transactions of the company’s advance payment for four business partners worth totaling 265 million baht and by falsifying revenue worth totaling 44 million baht. The revenue was not a result of the company’s
through four transactions of the company’s advance payment for four business partners worth totaling 265 million baht and by falsifying revenue worth totaling 44 million baht. The revenue was not a result
Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a
procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee Meeting No. 4
maturity period prescribed in the disclosure document. Automatic redemption would require pre-specified terms and conditions, and investment would be limited to institutional and ultra-high-net-worth
Mr. Sunthorn Chaononghin On February 22, 2010, Mr. Sunthorn Chaononghin, an engineer of Solartron Public Company Limited (SOLAR), illegally purchased SOLAR shares in such a way as to take advantage