. “Institutional investor” means: (1) Commercial Banks; (2) Financial companies; (3) Securities companies which purchase investment units for proprietary trading, managing for private funds, or for management of
Office. Clause 8. In offering investment units or contacting and soliciting any investor to purchase investment units of a mutual fund or to become a counterparty to a private fund management contract, the
) certificates representing the rights to purchase investment units; (10) any other instruments as specified by the SEC. "bill" means any bill issued for raising funds from the public as specified in the
. conducted not more than one year prior to the acquisition of the said asset; 2. if the value of the asset is more than fifty million baht, the appraisal shall be conducted by at least one appraiser; 3. if the
and estimated return, unless otherwise approved by the Office pursuant to Chapter 2; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of
mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9) certificates representing the rights to purchase investment
instruments or hybrid instruments which related person is an acceptor, giver of aval, endorser or guarantor; (6) Purchase and sale of investment units or certificates representing the rights to purchase
, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of
and controlling system for acquisition and disposition of client’s assets; □ (3.3) System for verification and reconciliation of client’s assets to ensure accuracy and completeness; □ (3.4) System for