appropriate level of investor protection. Over the past year, the SEC improved important regulations, such as, establishing regulatory frameworks to meet the standards of the International Organization of
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
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
Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the Use of Securities Business
Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the
licensed or regulated by the SEC Thailand : Management company Licensed bank/ Financial institution Licensed securities company Licensed institution/ Corporation/ Organisation (e.g. insurance company) Other
the Financial Institutions Businesses Act B.E. 2551 (2008); "foreign entity" means the following businesses under foreign law: (1) a foreign government agency or organization; (2) an international
Act (No. 2) B.E. 2542 (1999), the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 In this Notification: 1The terms, “institutional investor,” “ultra-high net worth