obliged to purchase according to the securities underwriting agreement; (2) the statement under (1) shall be distinct, easy-to-read, and not smaller in size than the regular font used in such article or

securities underwriting agreement; (2) the statement under (1) shall be distinct, easy-to-read, and not smaller in size than the regular font used in such article or research paper, and shall be on the same

Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the

: Clause 1 This Notification shall come into force as from 1 January 2015, except the following clauses: (1) Clause 12(4), which relates to arrangement of agreement between clients and derivatives advisors

notification of the SEC Office. A contract or an agreement in the first paragraph shall not have any statement denying the derivatives broker’s responsibility to clients from any act or omission of any act

deducted by total liabilities . “ liquid assets ” means total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase agreement with accrued interest; (3

any other benefits are appropriate and fair, following the Office’s guideline which will be notified in advance. Clause 7. In case the advertisement contains a statement that is partially copied or

in the mutual fund management scheme and prospectus, or private fund management agreement, as the case may be, shall be included: (a) type of assets to invest; (b) return of each type of assets; (c

dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve the dispute by the

Office of Securities and Exchange Commission No. OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. Clause 21 of the Notification of the Office of Securities and