securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and

standards, the ASEAN Debt Securities Disclosure Standards, for public offering. In case of the offerings to institutional or high net worth investors, only a minimum free-form disclosure is required. However

-General Thirachai Phuvanatnaranubala said: ?It was found that many securities companies had high proportion of proprietary trading during the first half of the year. However, as such trading value was

investor”, “ultra-high net worth investor” and “high net worth investor” shall have the same definitions as specified in the Notification of the Securities and Exchange Commission concerning Determination of

Bangkok, February 9, 2012 - The SEC has closely monitored the incident on December 30, 2011 where net asset value ("NAV") of domestic mutual funds investing in offshore ETF was irregularly high. The

company?s shareholders. ?The SEC promotes holding company with high potential to raise funds through the capital market and list on the Thai bourse, as not only will more attractive listed firms on the

public and high net worth investors would have to be investment grade products only. This is primary quality screening of the bond issuers to check their capability of repaying obligations because such

Complex Instruments Type 2 is allowed to give advice to investors about capital market products with non-complex features and investment units or debt securities with high risks or complexity, e.g

Capital Market Business (No. 7) dated 30 August 2017.   **  Investment consultant on non-complex products in the capital market and investment units or debt securities having high-risk or complex

underlying shares must have high liquidity. In addition to the existing call DW, issuance and offering of put DW will also be allowed; 4.    Private placement: Since DW is more complicated than other