Securities and Exchange Commission concerning Determination of Additional Types of Juristic Person Classified as Institutional Investor . Chapter 1 Registration _____________ Division 1 Types of Juristic
. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders
allocation shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
-five percent of the total shares with voting right; (o) a foreign investor of the same characteristics as those under (a) to (n) mutatis mutandis ; (5) “ retail client ” means a client other than
in this Chapter shall not be applicable to the following clients: (1) institutional investor; (2) ultra-high net worth or high net worth investor having status as a juristic person with a statement of
foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis ; “retail client” means a client other than an institutional client; “inside information” means the
category of mutual fund or private fund management, or derivatives investment management company; “ fund ” means mutual fund and private fund; “ investor ” means any person interested in investing in capital
: Determination of Additional Determination of Types of Juristic Person Classified as Institutional Investor ; (3) derivatives fund managers; and (4) derivatives advisors. Division 2 Specific Regulations on