Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . Division 3 Substance of provisions _____________________________ Clause 4 The requirements
clarify the factors that may cause material risks on the business, operation, financial condition and the operating results or going concern of the Company or the group of companies, including risk issues
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
management views as material risks on the business, operation, financial condition, operating results or going concern or the group of companies; - Investment risk imposed on the securities holders. Identify
requirement according to the principles of the Notification of the Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . Division 3 Substance of
Securities and Exchange Act B.E. 2535 (1992) or Section 23 of the Derivatives Act B.E. 2546 (2003) ; (2) possessing the prohibited characteristics in Group 1 under Clause 29 or in Group 2 under Clause 30
followings: - Operational risk associated with the Company or its group of companies. Identify and clarify what the management views as material risks on the business, operation, financial position, operating
the category of requiring the issuer to distribute the fact sheet, the securities underwriter shall circulate such document with the same material information of the registration statement in the form
an offer for sale of any types of securities, issuing company shall distribute a summarized substance of instrument (fact sheet), securities underwriter shall arrange to have the distribution of such
characteristics in Group 3 under Clause 31, [ii] provide opinions to the SEC Office in any matter relating to compliance with the provisions under this Chapter or [iii] announce a guideline and give instruction for