securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised
net worth investors and venture capital enterprises, but no more than 300,000 baht to each individual investor. A combined amount sold to individual investors must be no more than four times of
bonds, (2) Euro Multilateral Trading Facility (MTF), whose criteria are as relaxed as the regulations governing an offering of corporate bonds to high net worth investors, and (3) Securities Official
compliance with the following regulations: (1) an offer for sale of units of ASEAN Collective Investment Scheme to institutional investors, ultra-high net worth investors, high net worth investors or big
of investors. Issuing of each ICO can be offered the unlimited amount to institutional investors, ultra-high net worth investors and venture capital enterprises, but no more than 300,000 baht to each
placement to high net worth investors shall comply with the following criteria: (1) a solicitation or any giving advice on trading or investment in debt securities to high net worth investors shall be made
securities dealing under foreign law; (5) “ retail client ” means a client who is not an institutional investor or a high net worth investor; (6) “ institutional investor ” means an institutional investor as
law; (5)1 “retail client” means a client who is not an institutional investor or a high net worth investor; (6)2 “institutional investor” means an institutional investor as defined by the Notification
” means the Thai Bond Market Association which has been licensed by and registered with the SEC Office. The terms "credit ratings", "registration statement", "listed companies", "high net worth
worth investor ,” and “ high net worth investor ” shall have the same meanings as the definitions of such terms specified in the Notification of the Securities and Exchange Commission concerning the