of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
responsibilities of ownership are appropriately and fully delivered in their interests and on their behalf by those agents. As sophisticated investors with influence, often including voting rights, institutional
exemption or light-touch track for offers made to sophisticated investors or private placements. However, the SEC proposes that ICO for “investment participation” be initially allowed for institutional
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
because the purchasers possess the sophisticated knowledge, ability, expertise and many years of experiences in the business of wood manufacturing and distributing as well as other related businesses such
possession of prohibited characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the applicant must have the same
possession of prohibited characteristics. − − ✓ Remarks: 6 Application must be submitted within 5 years as from the expiration date of the previous approval. 7 A full course must have been taken for not more
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
ให้ลงทุนโดยตรงได้เช่นกัน แต่ผู้ลงทุนประเภทดังกล่าวอาจมิได้มีศักยภาพในการลงทุน/ 6 เรื่อง ความเห็นของผู้ประกอบธุรกิจ ความเห็นของส านกังาน การรับความเสี่ยง (sophisticated) และดูแลตนเองได้ เช่นเดียวกับผู้