unit holders by calculating returns that vary according to a formula of calculation or a certain condition that is not easily understood by retail investors; “notification on investment” means the
and lease back of premises categorized as operating lease in the annual financial statements. The SEC is of the opinion that the above transactions were in fact a collateral loan, not an outright
contain information on the securities to be offered, particularly its special characteristics and risks categorized and detailed in a succinct and comprehensible language, to allow investors to access and
of the securities company and shall be categorized into a margin account or a cash account, as the case may be. The client’s asset account under the first paragraph shall at least contain the following
and shall be categorized into a margin account or a cash account, as the case may be. The client’s asset account under the first paragraph shall at least contain the following details: (1) date of
condition and other financial products offered at that time. (2) Transaction Size The calculation of transaction size under the Notification of Acquisition and Disposition, is calculated from the interim
and Exchange Commission SorThor. 20/2554 Calculation and Report of Net Liquid Capital Calculation (No. 5) 23/06/2011 01/07/2011 13. Notification of the Office of the Securities and Exchange
. 20/2554 Calculation and Report of Net Liquid Capital Calculation (No. 5) 23/06/2011 01/07/2011 10. Notification of the Office of the Securities and Exchange Commission SorThor/Nor. 18/2554 Reporting