applicant to provide explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such
local representative in Thailand Information as of XX XX XXXX Name of the ASEAN CIS Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation
(UNOFFICIAL TRANSLATION) Factsheet Form: Structured Notes and Explanation Factsheet Information as of [day/month/year] 1 * II means institutional investors. HNW means high net worth investors. 1
consideration to provide explanation of facts; (2) presenting facts and explanation provided by the person under consideration (if any) for the auditing advisory committee’s consideration in giving opinions or
include the following procedures: (1) gathering of evidence considered necessary for fact proving; (2) admission of evidence, explanation or opinion of the SEC Office, an alleged person or a witness or
to trading, the Client should obtain from his/her derivatives agent clear explanation of all fees and other charges for which it will be liable relating to trading, settlement or exercise of options
. In this regard, the Office may request for an explanation or clarification of such reports or documents. Clause 11/3. In the case where the investment advisory company violates or fails to comply with
shall sign its name in risk disclosure statement to certify that it gave explanation of risks in derivatives trading to the customer, as well as to arrange its customer to sign his/her name in the
explanation of risks in derivatives trading to the customer, as well as to arrange its customer to sign his/her name in the aforesaid statement to certify that derivatives broker have given an explanation of