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
clients: (1) any person who is sixty years old or older; (2) any person with limited knowledge on finance or no investment experience; and (3) any person with limitations on communication or decision-making
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
High Net Worth Investor and High Net Worth Investor . Clause 3 A securities business license applicant and licensee shall have paid-up registered capital of no less than the following amounts: (1) one
possible. Any project worth 10 percent or more of the total income in the consolidated financial statements of the latest financial year shall be disclosed with expected turnaround schedules during each
investment management of mutual fund for institutional investors or ultra- ultra-high net worth investors (Ultra Accredited Investor Mutual Fund) which implements an investment strategy similar to that of a
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
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
ตามที่สำนักงานเสนอ แต่มีบางราย เสนอให้มีการเพิ่มขอบเขตของผู้ลงทุนให้รวมถึง นักลงทุนประเภท high net worth · คณะอนุกรรมการพิจารณาร่างประกาศ (ซึ่งมีผู้แทนจากภาคธุรกิจ) และสำนักงาน เห็นควรขยายขอบเขตให้ทำ
worth and ultra-high net worth investors whose qualifications are as specified by the SEC Thailand. Yes No If “No”, please specify __________________________________________________