(cash settlement); 2. Investment in futures has high risk. Futures trading is a high risk investment where investor may face unlimited loss. Hence, before deciding to trade in futures, the investor should
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
Exchange Act (No. 2) B.E. 2542 (1999) , the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 In this Notification: The terms, “ institutional investor ,” “ ultra-high net
Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the
of Thailand (SEC). I, the leader and authorized director of ……………………………………….……... (name of the audit firm), hereby certify and consent as follows; 1. I certify that the audit firm has audit quality
-construction projects Only in case of high-value, time-consuming projects or assignments such as building or ship construction projects, disclose the values of the ongoing projects as of the most recent date
or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes
in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset management
and Exchange Commission No. Kor Jor. 4/2560 Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor ___________________________ By
the form as publicized in the SEC’s website. Signatures of audit firm’s leader and authorized director are required. (6) Photocopy of the applicant’s passport. Signature of the applicant to certify true