contains at least the particulars and substances as specified by the SEC Office. 2A contract or an agreement in Paragraph 1 shall not have any statement that are in the manner of denying or limiting
underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any media or objects. This does not include the
reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment
securities offeror who is obliged to file a registration statement and draft prospectus with the Office. Clause 3 A securities underwriter shall not make underwriting of the following securities, except being
to file a registration statement and draft prospectus with the Office. Clause 3 A securities underwriter shall not make underwriting of the following securities, except being granted an exemption from
shall not be applicable to the following assets or persons: (1) assets of a client which is a mutual fund, private fund or any other similar fund under management of a securities company in its position