) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
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 virtue of
. Notification of the Securities 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
and enforcement. F. Cross-border co-operation should be enhanced, including through bilateral and multilateral arrangements for exchange of information. High levels of cross-border ownership and trading
damage to investors and appearance of Thai capital market. Division 2 Principle for Business Operation of an Intermediary _____________________________ Clause 3 For legitimacy of business operation, an
damage to investors and appearance of Thai capital market. Division 2 Principle for Business Operation of an Intermediary _____________________________ Clause 3 For legitimacy of business operation, an
เอกสารรับฟังความคิดเห็น เร่ือง 1. การอนุญาตให้เสนอขายตราสารหนี้ท่ีไม่มีการจัดอันดับความน่าเชื่อถือ (unrated bonds) และกองทุนรวมท่ีสามารถลงทุนในตราสารหนี้ท่ีมีความเสี่ยงสูง (high yield bonds) ต่อผู้ลง
responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units 3.2 Investment
conducting its business at a high standard of Good Corporate Governance practices, particularly regarding the rights and equitable treatment of its shareholders. It is our responsibility to enhance the
investor”, “ultra-high net worth investor” and “high net worth investor” shall have the same definitions as specified in the Notification of the Securities and Exchange Commission concerning Determination of