intermediary shall consider received information as prescribed in Clause 31 in order to provide corresponding services including appropriate information and caution to each type of the client . In case the

shall comply with the following rules: (1) shall make consideration of credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information

important statement, for instance, caution of risks; (2) using statement without being misleading or distortion; (3) not having exploitative terms and conditions, or not being unfair agreement; (4) covering

caution (fiduciary duties) and shall not make credit rating information selection which may cause assets of clients to be in a condition of low liquidity and high risk (cherry picking); (2) shall use the

demonstrating the acknowledgment of the client with respect of the caution about risks arising from such investment or transaction. While the client has not confirmed on the investment or entering into the

, significant changes or selection of accounting policy, observation or qualified opinion of the auditor on significant accounting items (if any), and the results of the implementation of the business plan and

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................

ผู้บริหารของบริษัทที่ออกหลักทรัพย์ (ข) ไม่อยู่ระหว่างถูกตลาดหลักทรัพย์ขึ้นเครื่องหมาย C (Caution) หรือมีคำสั่งห้ามซื้อ หรือขายหลักทรัพย์จดทะเบียนของบริษัทเป็นการชั่วคราวโดยขึ้นเครื่องหมาย SP (Trading