. Clause 15. In advertising the fund, the securities company shall at least have statement or warning as follows: (1) a statement related to how investors can acquire additional information or prospectus; (2

statement or warning as follows: (1) a statement related to how investors can acquire additional information or prospectus; (2) a warning stating that “investment contains certain risks; investors are

to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.

market products by using the client’s information obtained from knowing the client process and assessment of suitability test; (5) provide the additional warning that risky or complex capital market

and safety of such stored things, and shall be at least in accordance with Clause 14; (13) having additional system for the following specific services: (a) investment analysis for capital market

คล่องสุทธิ (“NC”) หรืออัตราส่วนเงินกองทุนสภาพคล่องสุทธิ (“NCR”) เท่ากับหรือน้อยกว่า 1.5 เท่าของเกณฑ์ขั้นต่ำ (เป็นระดับ early warning เท่ากับ 10.5% หรือ 37.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์และเป็นตัวแทน

regard, such system shall serve accurately and thoroughly, including verification and safety of such stored things, and shall be at least in accordance with Clause 14; (13) having additional system for the

understanding; (5) provide additional warning that high-risk or complex capital market products are different from plain vanilla products; (6) inform clients about the risk which may arise from service or

Commission No. KorThor. 3/2551 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investors _____________ By virtue of Clause 3 and Clause 9 of the Derivatives Act B.E.2546

and communication technology infrastructure; (h) alternative energy; (i) water management system or irrigation; (j) natural disaster preventive system, including the warning and management systems to