mutual fund does not demonstrate that the SEC Office has certified the accuracy of the information in the prospectus or the price or return of the investment units offered for sale.” (2) A warning in case
securities company may complies with other guideline, if the securities company demonstrate to the Office that such other guideline is capable of efficiently preventing risk in information technology of the
complies with other guideline, if the securities company demonstrate to the Office that such other guideline is capable of efficiently preventing risk in information technology of the securities company with
hypothesis used as reference, demonstrate that such hypothesis is reasonable and identify any risk that may affect the estimated returns or the operating results. Information related to an estimate of returns
shall not be applied to any specific event falling within 1. to 6. which obtains an exemption from the Office, provided that the company is able to demonstrate that there are sufficient measures to ensure
) being able to demonstrate that such person is acknowledgeable and capable person in valuing the asset for widely used appraisal. In this regard, such person must have signed appraisal report as the
can demonstrate that it has adopted a mechanism which ensures that the management of the company shall be for the best interest of the business and its shareholders as a whole; (b) having benefits
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
a waiver for disclosure of some information under this Notification, provided that an offeror is able to demonstrate to the SEC Office that [i] such information does not materially affect the
person having the characteristics under Paragraph 1(1) or (2) if the management company can demonstrate to the SEC Office that such person has rectified the cause, work system, management structure and