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
of Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 as amended by
management record as follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation
period of one year prior to the date the derivatives broker submits the application, no investor contact working for the derivatives broker being imposed a probation or higher more than three cases, unless
Investor Contacts and Standards of Conduct ______________________ By virtue of: (1) Clause 3(2) of the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
(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
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but
concession right to operate an infrastructure business; (c) the right to receive the future income or the right under the income sharing agreement that will be generated by an infrastructure business or will
” means a person authorized by a company’s board of directors to assume the highest responsibility in the company’s management, regardless of his or her title; (3) “ institutional investor ” means an