transactions as originally intended by the investors in the following business day. Instead, he spent the subscription money for his own benefit, causing the total damage of 449,500 baht to eight clients. SEC
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
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
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
not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the requirements under this Notification in order to instruct
inappropriateness with conditions of such intermediary ’s business; (c) is not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the
not necessary for some types of capital market products; (3) announcing a detailed guideline for the benefit of compliance with the requirements under this Notification in order to instruct appropriate
not necessary for some types of capital market products; (3) announcing a detailed guideline for the benefit of compliance with the requirements under this Notification in order to instruct appropriate
” 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