into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client ’s [pending] order for trading or engaging in a contract
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...
suspended and such securities company must not have any pending report. Such exemption shall desist when such securities company has resumed its business operation with the approval from the SEC or the Office
during any period of twelve months without performing any acts deemed to be presentation of oneself as derivatives adviser; (2) giving advice from the Kingdom of Thailand to investors in foreign countries
property fund; (2) the advertisement must be made in print or electronic media; (3) presentation of the estimated return or the auto-redemption rate shall not be more prominent than other information
electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
revoked: O yes O however, such case has already been granted exemption by the SEC; O pending application for exemption from SEC; O other cases (please specify)…………………………………. O no 6.4 Being a director
) entering into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client ’s [pending] order for trading or engaging in a
center and other receivables such as a receivable of securities trading by cash who fail to pay within due period or a receivable pending under a composition proceeding or payment in installments. As for
for the disclosure according to its duties. (4) Not to make presentation which will guarantee profit or return at a certain rate or the loss shall not be more than the rate already specified, except for