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
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
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
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
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
. KorThor 6/2547 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investor. By virtue of section 3 and section 9 under the Derivatives Act, B.E. 2546 (2003), the SEC hereby
having shareholder being person as prescribed in (1) to (13) combining hold shares exceed 75% of share which entitle to vote; (15) foreign investors having qualifications as the investor prescribed in (1
title; “investor contact” means any person who has duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories
of operation of the securities company. “Service provider” means a provider of services as an investor contact on behalf of securities companies or a provider of back office services to securities