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
: Clause 1 In this Notification: " derivatives dealer " means a person holding a license to undertake a derivatives business in the category of derivatives dealer ; " institutional investor " means an
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
(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
Company and their experience in reviewing financial statements. 11.3 Selection and appointment of directors and chief executives (1) Independent director - Specify the selection criteria, i.e
in order to stimulate or reward the client to immediately [i] use offered services or [ii] invest in capital market products presented by the intermediary . “ institutional investor ” means an
Notification: “ institutional investor ” means an institutional investor as defined by the Notification of the Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra
in this Chapter shall not be applicable to the following clients: (1) institutional investor; (2) ultra-high net worth or high net worth investor having status as a juristic person with a statement of
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