which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

consideration for approval of establishment and management. Clause 4. The advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading; (2) information and estimated

: Facsimile: ________________________________ Objectives of the fund from the securities offering at an approximate amount of _________ _baht are as follows: use of proceeds Estimated amount Estimated period of

Office prior to distribution: (1) advertisement related to estimated return; (2) advertisement related to auto-redemption rate; (3) advertisement for which the Office directs the securities company to

to clients shall be supervised in accordance with the work system laid out by the intermediary . Clause 26 For the communication with or providing services to a new client , an intermediary shall

subsidiaries is disclosed accurately and completely, and has supervised compliance with such disclosure system; (3) The Company has provided an efficient internal control system, supervised compliance with the

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. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...

ประเมินและทบทวนอย่างไร และกรณีที่มีความแตกต่างกันอย่างมีนัยสำคัญ ระหว่างสถานะความเสี่ยงที่คาดการณ์ (estimated market risk exposure) กับความเสี่ยงที่เกิดขึ้นจริง (actual market risk exposure) มีการดำเนินการ

delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business in the category of

estimated future returns with reference to the following information: (a) reasonable information used for a factor of estimation; (b) risk factors arising from each condition of estimation; and (c