restricted to offer investment units for sale specifically to institutional investors , ultra-high net worth investors , high net worth investors and big retail investors ; “ accredited investor fund ” means a
not suffering from the same impacts and it should be able to support a large amount of critical business functions or a long-lasting emergengy incidents. In addition, the alternative site should be
. a large number of redemption due to panic or the issuer unable to pay the principal and the interest within the prescribed period. Such practices should be reviewed and tested. (6) Having corrective
initial margin is minimal when compared to the value of derivatives contract. Keeping this in mind when there is a significant change in market price of the future contract investor can make large amount of
additional disclosure in the Annual Registration Statement. For example, the Company plans to gain a 20-percent market share in the next three years or to develop production technology to reduce production
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
the contract’s value, a relatively small movement of the market can lead to either large losses or gains within a short period of time. The Client may sustain losses significantly beyond the amount of
. 2561 (“ประกาศที่ สจ. 38/2561”) The following instructions for filling out Form 59 are provided for general understanding. Reporters on changes of securities and derivatives holding are advised to consult
Office at least sixty days prior to the expiry date of registration. The Office shall consider the application under the second paragraph within thirty days as from the next following date after such
through banks, or client repeatedly purchases cashier cheques for settlement; (10) unexplained settlements or transfers of assets in large amount from or to accounts of third parties, who are not ultimate